【摘要】：金融業(yè)務(wù)牌照監(jiān)管是全球資本市場功能監(jiān)管的通行做法,這種監(jiān)管方式實現(xiàn)了同類業(yè)務(wù)同等監(jiān)管,是適應(yīng)市場需求變化的基本原則。我國內(nèi)地尚未建立有效的金融業(yè)務(wù)牌照管理體系,現(xiàn)行牌照管理方式建立在機構(gòu)監(jiān)管基礎(chǔ)上,難以實現(xiàn)金融業(yè)務(wù)的統(tǒng)一和全覆蓋監(jiān)管,容易引發(fā)監(jiān)管套利和市場無序等問題。香港"持牌人"制度,是功能監(jiān)管體制下的一種典型安排,通過牌照的發(fā)放和退出實現(xiàn)了證券期貨經(jīng)營機構(gòu)的有序管理和充分競爭,其經(jīng)驗和做法值得學(xué)習、思考和借鑒。
[Abstract]:Financial business licence supervision is a common practice of functional supervision of global capital market, which realizes the same supervision of similar business and is a basic principle to adapt to the changing market demand. The unified and full-coverage supervision of financial business can easily lead to problems such as arbitrage and disorder of the market. The "licensee" system in Hong Kong is a typical arrangement under the functional supervision system. The orderly management and full competition of the securities and futures business institutions are realized through the issuance and withdrawal of licences. Its experience and practice are worth learning, thinking and drawing lessons from.
【作者單位】： 中證金融研究院;
【分類號】：F832.1

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