本文選題：配資 + 監(jiān)管機(jī)制　； 參考：《長春工業(yè)大學(xué)》2017年碩士論文

【摘要】：本文首先從股票市場場外配資的產(chǎn)生背景、內(nèi)涵及其國內(nèi)外研究現(xiàn)狀著手,闡述了股票市場場外配資的發(fā)展現(xiàn)狀及其與場內(nèi)配資比較,了解配資在2015年迅速擴(kuò)大,其規(guī)模影響到股市的健康平穩(wěn)發(fā)展,因此在2015年6月中旬證監(jiān)會大規(guī)模整頓清理配資。并從分析了場外配資當(dāng)前的監(jiān)管現(xiàn)狀,得出股票場外配資監(jiān)管當(dāng)前處于空白,當(dāng)前的配資清理依據(jù)的法規(guī)規(guī)定也只是依據(jù)證券法的相關(guān)法律,除此之外還存在監(jiān)管無序,監(jiān)管主體責(zé)任不明確,針對場外配資的監(jiān)管機(jī)制不健全,沒有形成統(tǒng)一有效的預(yù)防監(jiān)管機(jī)制。因此結(jié)合股票市場場外配資監(jiān)管現(xiàn)狀,筆者根據(jù)金融監(jiān)管機(jī)制提出了針對配資監(jiān)管的監(jiān)管框架并從構(gòu)建了監(jiān)管流程模型。最后運用評價指標(biāo)體系從監(jiān)管主體環(huán)境、法律法規(guī)、制度環(huán)境三個主要方面建立了評價指標(biāo)體系,由于指標(biāo)的評價過于模糊本文從指標(biāo)組成要素因子對股票市場場外配資監(jiān)管環(huán)境進(jìn)行了評價。并得出在當(dāng)前場外配資監(jiān)管法律法規(guī)不健全、針對配資門檻要求等制度沒有統(tǒng)一標(biāo)準(zhǔn)、配資監(jiān)管主體即證監(jiān)會、銀監(jiān)會、保監(jiān)會三者對場外配資監(jiān)都有責(zé)任,但是依法履行監(jiān)管職責(zé)和自覺遵守職業(yè)道德的機(jī)構(gòu)很少,監(jiān)管混亂。尤其應(yīng)該起到主要監(jiān)管責(zé)任的證監(jiān)會內(nèi)部失職腐敗現(xiàn)象等一系列問題。最后本文針對這些監(jiān)管問題,提出了改變場外配資監(jiān)管現(xiàn)狀的策略和建議,主要有以下四點:第一完善配資監(jiān)管體制并建立風(fēng)險控制體系;第二建構(gòu)法律規(guī)范監(jiān)管分支體系完善股票場外配資的交易法律法規(guī);第三整頓內(nèi)部監(jiān)管機(jī)構(gòu)形成一套完整內(nèi)部監(jiān)管體系;第四,增大社會監(jiān)督的作用。
[Abstract]:This paper begins with the background, connotation and current research situation of OTC allocation in stock market, expounds the development status of OTC allocation in stock market and its comparison with OTC allocation, and understands the rapid expansion of OTC allocation in 2015. Its size affected the healthy and smooth development of the stock market, so in mid-June 2015, the CSRC cleaned up the allocation on a large scale. And from the analysis of the current regulatory situation of OTC allocation, it is concluded that the current OTC supervision is blank, and the current regulations and regulations on the basis of which are only based on the relevant laws of the securities law. In addition, there is a disorder of supervision. The responsibility of the main body is not clear, the supervision mechanism for the over-the-counter allocation is not perfect, and the unified and effective preventive supervision mechanism has not been formed. Therefore, according to the current situation of over-the-counter allocation of capital in the stock market, the author puts forward the regulatory framework for the allocation of capital according to the financial supervision mechanism and constructs a regulatory process model from the point of view of the mechanism of financial supervision. Finally, the evaluation index system is established from three main aspects of supervision subject environment, laws and regulations and system environment by using the evaluation index system. Because the evaluation of the index is too vague, this paper evaluates the regulatory environment of the over-the-counter allocation of capital in the stock market from the factor of the index composition. And it is concluded that the current over-the-counter allocation supervision laws and regulations are not perfect, and there is no unified standard for the system such as the threshold requirements for allotment of capital, and the supervisory bodies of the allocation of capital, namely, the CSRC, the Banking Regulatory Commission and the Insurance Regulatory Commission, are all responsible for the over-the-counter allocation of funds. But there are few institutions that perform regulatory duties and abide by professional ethics according to law, and supervision is chaotic. In particular, should play the main regulatory responsibility of the CSRC internal negligence corruption and a series of issues. Finally, aiming at these supervision problems, this paper puts forward the strategies and suggestions to change the current situation of over-the-counter allocation supervision, mainly as follows: first, perfecting the supervision system and establishing the risk control system; The second is to set up laws and regulations to regulate the regulatory branch system to perfect the transaction laws and regulations of stock over-the-counter allocation; the third is to rectify the internal supervision institutions to form a complete internal supervision system; fourth, to increase the role of social supervision.
【學(xué)位授予單位】：長春工業(yè)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：F832.51

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本文編號：1953536