【摘要】：基于原則的監(jiān)管(Principles-Based Regulation,PBR)是2002年以來(lái)歐美國(guó)家證券公司合規(guī)管理的新趨勢(shì),被西方業(yè)界廣泛討論并逐步付諸實(shí)踐。對(duì)習(xí)慣于以規(guī)則為導(dǎo)向的傳統(tǒng)而言,基于原則的監(jiān)管無(wú)疑是一種巨大的挑戰(zhàn)和變革,其帶來(lái)的激烈爭(zhēng)議在所難免。我國(guó)證券公司的合規(guī)管理起步較晚,但起點(diǎn)較高,基于原則的監(jiān)管已初現(xiàn)端倪,在外部監(jiān)管方面可以適當(dāng)借鑒;但對(duì)于證券公司的內(nèi)部管理而言,則不宜立即推廣。
[Abstract]:Principles-based supervision (Principles-Based Regulation,PBR) is a new trend of compliance management of securities companies in Europe and America since 2002, which has been widely discussed and put into practice in western countries. Principle-based regulation is undoubtedly a great challenge and change for the tradition of rule-oriented, and the fierce controversy brought about by it is inevitable. The compliance management of securities companies in our country starts late, but the starting point is high. The supervision based on principle has appeared and can be used for reference in external supervision, but it is not suitable for the internal management of securities companies to be popularized immediately.
【作者單位】： 南京證券有限責(zé)任公司;
【分類號(hào)】：F832.39

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