【摘要】：證券市場監(jiān)管體制是指證券市場的監(jiān)管主體層次設(shè)置、各監(jiān)管機(jī)構(gòu)之間的權(quán)利配合協(xié)調(diào)的制度安排。市場的發(fā)展總會或多或少出現(xiàn)市場失靈,這就需要監(jiān)管部門的介入來矯正市場的缺陷,在我國社會主義市場經(jīng)濟(jì)初級階段,由于證券市場機(jī)制發(fā)育不健全、法律體系有待完善等原因,加之證券市場特有的虛擬性、高風(fēng)險性、易傳導(dǎo)性及快速性等特點使得對證券市場的監(jiān)管應(yīng)采取政府監(jiān)管為主的集中監(jiān)管體制。但由于中國證券市場的集中監(jiān)管體制在摸索中前進(jìn),因此存在這樣那樣的監(jiān)管缺陷,究其根本原因在于監(jiān)管體制不完善,所以需要從體制上根除問題的癥結(jié),才能不斷完善對中國證券市場的監(jiān)管。 從國際證券監(jiān)管委員會組織(IOSCO)通過對發(fā)達(dá)證券市場監(jiān)管經(jīng)驗的總結(jié)研究與英美等各國證券監(jiān)管的實踐都可以看到,證券市場監(jiān)管體制的本質(zhì)內(nèi)容在于各證券監(jiān)管機(jī)構(gòu)法律地位的明確規(guī)定、職能協(xié)調(diào)以及對于監(jiān)管機(jī)構(gòu)尤其是政府監(jiān)管機(jī)構(gòu)的制約機(jī)制等。 本文從中國證券市場現(xiàn)存問題出發(fā)分析其根本原因在于證券監(jiān)管體制,通過分析國際上對于證券市場監(jiān)管體制規(guī)定的相關(guān)理論,并對比中外證券市場監(jiān)管的實踐,對中國證券市場監(jiān)管體制中各個監(jiān)管機(jī)構(gòu)的法律性質(zhì)、監(jiān)管權(quán)力分配、監(jiān)管權(quán)力約束等方面進(jìn)行了分析,找到中國證券市場監(jiān)管體制層而的問題,并對此提出對應(yīng)的完善建議。
[Abstract]:The supervision system of the securities market refers to the arrangement of the main body of the supervision of the securities market and the coordination of the rights among the regulatory bodies. The development of the market always appears more or less market failure, which requires the intervention of the supervision department to correct the defects of the market. In the primary stage of our socialist market economy, because of the imperfect development of the securities market mechanism, The legal system needs to be improved, coupled with the unique characteristics of the securities market, such as fictitious, high risk, easy to conduct and fast, so the supervision of the securities market should adopt the centralized supervision system of government supervision. However, because the centralized supervision system of China's securities market is advancing in the process of exploration, there are one or other regulatory defects. The fundamental reason is that the regulatory system is not perfect, so it is necessary to eradicate the crux of the problem from the system. Ability to constantly improve the supervision of China's securities market. It can be seen from the (IOSCO), an organization of the International Securities Regulatory Commission, through the summing up of the experience of the supervision of developed securities markets and the practice of securities regulation in the United States and other countries. The essence of the securities market supervision system lies in the clear regulation of the legal status of the securities regulatory agencies, the coordination of their functions, and the restriction mechanism for the regulatory bodies, especially the government. Based on the analysis of the existing problems in China's securities market, this paper analyzes the fundamental causes of the securities supervision system. Through the analysis of the relevant theories concerning the regulation system of the securities market in the world, and comparing the practice of the Chinese and foreign securities market supervision, This paper analyzes the legal nature, the distribution of supervision power and the restriction of supervision power in the supervision system of China's securities market, finds out the problems in the supervision system of China's securities market, and puts forward corresponding suggestions for perfection.
【學(xué)位授予單位】：中央民族大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：F832.51

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