【摘要】：在全球經(jīng)濟高度一體化的今天，證券市場作為大規(guī)模資金全球化流動的場所，對全球經(jīng)濟的繁榮穩(wěn)定發(fā)揮著越來越大的作用。2008年由美國次貸危機引起的全球性金融風(fēng)暴再次明確表明了證券監(jiān)管的重要性。有鑒于此，隨著全球經(jīng)濟的進一步發(fā)展，世界各主要國家日益認識到行政法制在證券監(jiān)管活動中的重要作用，根據(jù)證券市場的新情況，不斷適時調(diào)整本國的證券監(jiān)管體制。 當(dāng)今世界的證券監(jiān)管模式大致可分為政府監(jiān)管主導(dǎo)型和自律監(jiān)管主導(dǎo)型兩種。美國、英國、德國等作為西方主要資本主義國家，證券市場歷史長、規(guī)模大，監(jiān)管法律比較完備、制度比較嚴(yán)格，具有典型性。我國證券市場起步較晚，在上世紀(jì)90年代后期才基本建立起證券監(jiān)管行政法制，，確立了以中國證監(jiān)會為核心的覆蓋全國的證券監(jiān)管體系，之后仍然不斷作出各種微調(diào)。中國證監(jiān)會在設(shè)立之初的本意是成為獨立監(jiān)管的機構(gòu)，但受限于我國的國情，中國證監(jiān)會一直未能發(fā)揮出獨立監(jiān)管機構(gòu)的優(yōu)勢，造成一系列的理論不協(xié)調(diào)和現(xiàn)實尷尬。 完善我國的證券監(jiān)管體制，首先應(yīng)從中國證監(jiān)會入手，改革其行政法律地位是關(guān)鍵。只有明確中國證監(jiān)會的行政法律地位，才能對該地位產(chǎn)生的職權(quán)進行規(guī)范，進而達到約束中國證監(jiān)會、有效進行市場監(jiān)管的最終目的。對中國證監(jiān)會的法律地位和職能進行改造應(yīng)從兩個方面著手。一方面，應(yīng)加強其獨立的法律地位，防止行政機關(guān)對其施加過大的影響；另一方面，為適應(yīng)中國證監(jiān)會的獨立監(jiān)管地位，有必要對中國證監(jiān)會的職權(quán)進行重新構(gòu)造和完善。
[Abstract]:Today, when the global economy is highly integrated, the securities market is the place where the large-scale flow of capital flows. The global financial turmoil caused by the U.S. subprime mortgage crisis in 2008 clearly demonstrated the importance of securities regulation. In view of this, with the further development of the global economy, the major countries in the world are increasingly aware of the important role of the administrative legal system in the activities of securities supervision. According to the new situation of the securities market, they constantly adjust their securities regulatory system in a timely manner. The securities regulatory model in the world can be divided into two types: government supervision and self-regulation. As major western capitalist countries, the United States, Britain and Germany have a long history, a large scale, a relatively complete regulatory law, a relatively strict system, and are typical. The securities market of our country started relatively late in the late 1990s, it was only in the late 1990s that the administrative legal system of securities supervision was basically established, and the securities supervision system covering the whole country with CSRC as the core was established. After that, various fine adjustments were made continuously. China Securities Regulatory Commission (CSRC) was originally set up to be an independent supervision institution, but limited by the national conditions of our country, CSRC has been unable to give play to the advantages of independent regulatory agencies, resulting in a series of theoretical disharmony and practical embarrassment. To perfect the securities supervision system of our country, we should start with CSRC, and reform its administrative legal status is the key. Only by making clear the administrative legal status of CSRC, can the authority of CSRC be standardized, and the ultimate purpose of restricting CSRC and effectively carrying out market supervision can be achieved. The legal status and function of CSRC should be reformed from two aspects. On the one hand, we should strengthen its independent legal status and prevent the administrative organs from exerting too much influence on it; on the other hand, in order to adapt to the independent supervisory status of CSRC, it is necessary to reconstruct and perfect the functions and powers of CSRC.
【學(xué)位授予單位】：上海社會科學(xué)院
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D922.1;F832.51

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