發(fā)布時(shí)間：2018-01-10 08:26

  本文關(guān)鍵詞：中國證券市場(chǎng)對(duì)外開放的法律監(jiān)管問題研究　出處：《華僑大學(xué)》2012年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 證券市場(chǎng) 對(duì)外開放 法律監(jiān)管

【摘要】：從中國正式加入世貿(mào)組織開始，中國證券市場(chǎng)一直在不斷努力推進(jìn)對(duì)外開放的進(jìn)程。中國證券市場(chǎng)作為新興的證券市場(chǎng)，自身監(jiān)管體制不健全、運(yùn)作不規(guī)范的背景下，從B股市場(chǎng)開始逐步深入推進(jìn)我國證券市場(chǎng)的開放。依附于證券市場(chǎng)機(jī)體內(nèi)部的弊端缺陷在經(jīng)濟(jì)全球化的時(shí)代存在著天然的風(fēng)險(xiǎn)。如何運(yùn)用合理的監(jiān)管措施有效監(jiān)管、防范市場(chǎng)風(fēng)險(xiǎn)，使我國經(jīng)濟(jì)平穩(wěn)快速發(fā)展，這是任何關(guān)注中國證券市場(chǎng)對(duì)外開放推進(jìn)的人不能不關(guān)心、思考的問題。 本文應(yīng)用法理學(xué)、證券法學(xué)、經(jīng)濟(jì)金融法學(xué)等理論，，圍繞中國證券市場(chǎng)開放法律監(jiān)管的主題，對(duì)證券市場(chǎng)開放法律監(jiān)管的部分問題進(jìn)行研究。本文通過對(duì)證券市場(chǎng)開放的現(xiàn)狀及證券市場(chǎng)的法律監(jiān)管不足進(jìn)行分析，指出證券市場(chǎng)本身存在的固有風(fēng)險(xiǎn)，加上開放的證券市場(chǎng)引起的國內(nèi)外資金流動(dòng)，更需要建立完善、穩(wěn)妥的法律監(jiān)管制度，進(jìn)而維持證券市場(chǎng)對(duì)外開放的良好秩序，保護(hù)投資者利益。但是我國作為新興市場(chǎng)國家，本身監(jiān)管經(jīng)驗(yàn)不足、監(jiān)管法規(guī)不夠健全，還需要借鑒其他國家先進(jìn)、有效的經(jīng)驗(yàn)教訓(xùn)。本文對(duì)發(fā)達(dá)市場(chǎng)經(jīng)濟(jì)國家日本和美國的證券市場(chǎng)監(jiān)管模式、監(jiān)管法規(guī)做了分析論述，并指出證券市場(chǎng)在我國目前的形勢(shì)下不可過度開放。最后文章重點(diǎn)梳理了我國目前對(duì)證券市場(chǎng)開放采取的法律監(jiān)管措施，首先從監(jiān)管理念、監(jiān)管制度的新要求入手、重點(diǎn)分析證券市場(chǎng)準(zhǔn)入的法律監(jiān)管及建立安全、完備的QFII法律制度和境外上市公司的信息披露方面對(duì)證券市場(chǎng)對(duì)外開放的法律監(jiān)管架構(gòu)進(jìn)行完善。
[Abstract]:Since China's entry into the WTO, China's securities market has been working hard to promote the process of opening to the outside world. As a new securities market, its own regulatory system is not perfect. Against a background of irregular operation. Starting from the B share market, the opening up of China's securities market has been promoted step by step. There are natural risks in the era of economic globalization. How to use reasonable supervision measures is effective. Supervision. To guard against market risks and to make our economy develop steadily and rapidly is a problem that anyone who pays close attention to the promotion of the opening up of China's securities market cannot but pay attention to and think about. Based on the theories of jurisprudence, securities law and economic and financial law, this paper focuses on the subject of legal supervision of China's open securities market. This paper analyzes the current situation of the opening of the securities market and the insufficiency of the legal supervision of the securities market, and points out the inherent risks of the securities market itself. In addition, the opening of the securities market caused by the flow of domestic and foreign funds, it is necessary to establish a sound, sound legal supervision system, and then maintain a good order of the securities market opening to the outside world. However, as an emerging market country, China's own regulatory experience is not enough, regulatory regulations are not perfect enough, but also need to learn from other advanced countries. Effective experience and lessons. This paper analyzes and discusses the regulatory models and regulations of the securities market in the developed market economy countries Japan and the United States. And pointed out that the securities market in China's current situation can not be excessively open. Finally, the article focuses on combing the current legal regulatory measures to open the securities market, first of all, from the concept of supervision. Starting with the new requirements of the regulatory system, this paper focuses on the analysis of the legal supervision of securities market access and the establishment of security. The complete legal system of QFII and the information disclosure of overseas listed companies improve the legal regulatory framework of the opening up of the securities market.
【學(xué)位授予單位】：華僑大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：D922.287;F832.51

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1 李杉;證券市場(chǎng)對(duì)外開放法律監(jiān)管研究[D];對(duì)外經(jīng)濟(jì)貿(mào)易大學(xué);2004年

相關(guān)碩士學(xué)位論文 前1條

1 陳潔茹;中國證券市場(chǎng)對(duì)外開放中的QFII問題研究[D];合肥工業(yè)大學(xué);2006年

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