本文選題：證券市場　切入點(diǎn)：政府監(jiān)管　出處：《山東大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

【摘要】：改革開放以來,我國的市場經(jīng)濟(jì)以前所未有的速度蓬勃發(fā)展,同發(fā)達(dá)資本主義國家相同,經(jīng)濟(jì)發(fā)展到一定地步會(huì)催生可以進(jìn)行有價(jià)證券發(fā)行和交易、投資融資的市場,我國的證券市場在20世紀(jì)80年代開始形成并隨著經(jīng)濟(jì)的發(fā)展不斷發(fā)展和完善。由于市場主體本身具有的貪婪性使單純依靠其自律約束無法避免金融風(fēng)險(xiǎn),監(jiān)管作為不可或缺的維護(hù)市場公平、有序的外部力量成為任何運(yùn)作良好的證券市場的基礎(chǔ)。 證券市場的監(jiān)管包括有行政監(jiān)管和自律監(jiān)管等方式,在這基礎(chǔ)之上又劃分為以行政為主導(dǎo)的監(jiān)管模式、以自律為主導(dǎo)的監(jiān)管模式以及綜合型的監(jiān)管模式。世界各國依據(jù)國家的實(shí)際情形和傳統(tǒng)習(xí)慣選擇適合于本國的證券市場監(jiān)管模式,但是,無論采取哪一種監(jiān)管手段,都無法避免監(jiān)管本身存在的弊端。就證券市場而言,監(jiān)管最重要的是“有效性”和“適度性”,通過設(shè)計(jì)最低成本、最高效率的資源配置體系,使得行政監(jiān)管與自律監(jiān)管之間角色清晰、相輔相成,形成有效監(jiān)管體制。鑒于中國經(jīng)濟(jì)已經(jīng)邁入世界經(jīng)濟(jì)一體化發(fā)展的時(shí)代,證券市場上的波動(dòng)對市場經(jīng)濟(jì)的影響日益增強(qiáng),如何在吸取發(fā)達(dá)資本主義國家證券市場監(jiān)管方面的經(jīng)驗(yàn)和教訓(xùn)的基礎(chǔ)上,進(jìn)一步的發(fā)展和完善現(xiàn)有監(jiān)管機(jī)制,則成為凈化當(dāng)前證券市場、建立適合國情的證券監(jiān)管制度的重中之重。撰寫本文的目的亦是在于通過分析當(dāng)前中國證券市場的監(jiān)管制度,在與國外發(fā)達(dá)資本主義國家對比的基礎(chǔ)之上,進(jìn)一步探求建立更為完善的、運(yùn)行更為有效的證券市場監(jiān)管機(jī)制,從而使得當(dāng)前處于尚不完善、亟待發(fā)展的證券市場能夠穩(wěn)步發(fā)展、有序運(yùn)行。 本文研究思路主要由四部構(gòu)成：首先,從整體上介紹證券市場監(jiān)管的涵義、理論及其存在的必要性,形成對于證券監(jiān)管的初步了解；第二,介紹美國、英國、德國的證券市場監(jiān)管體制,并分析其各自特點(diǎn)；第三,詳細(xì)的介紹我國證券監(jiān)管的發(fā)展歷程和監(jiān)管方式——政府機(jī)構(gòu)監(jiān)管以及自律性監(jiān)管,通過闡述進(jìn)而了解我國證券市場監(jiān)管體制的不足之處；第四,結(jié)合我國監(jiān)管現(xiàn)狀以及發(fā)達(dá)國家和地區(qū)的先進(jìn)經(jīng)驗(yàn),在前文對于證券監(jiān)管市場存在的具體問題的分析基礎(chǔ)之上,對現(xiàn)有行政監(jiān)管和自律監(jiān)管在證券市場中的監(jiān)管地位和監(jiān)管職責(zé)進(jìn)行重塑。
[Abstract]:Since the reform and opening up, the market economy of our country has flourished at an unprecedented speed. Like the developed capitalist countries, economic development to a certain extent will give birth to a market in which marketable securities can be issued, traded, and invested and financed. The securities market of our country began to form in 1980s and has been developing and perfecting with the development of economy. Because of the greed of the main body of the market, it is impossible to avoid the financial risk simply relying on its self-discipline. Regulation, as an indispensable external force to maintain market fairness and order, has become the basis of any well-functioning securities market. The supervision of the securities market includes administrative supervision and self-regulation. On this basis, it is divided into an executive-led regulatory model. According to the actual situation of the country and the traditional custom, the countries in the world choose the appropriate regulatory model of the securities market in their own country. However, no matter which kind of regulatory means is adopted, As far as the securities market is concerned, the most important aspects of regulation are "effectiveness" and "moderation" by designing a system of resource allocation with the lowest cost and the highest efficiency. This makes the roles of administrative supervision and self-regulation clear and complementary, and forms an effective regulatory system. In view of the fact that China's economy has entered the era of the integration of the world economy, the impact of fluctuations in the securities market on the market economy is increasing day by day. How to further develop and improve the existing regulatory mechanism on the basis of absorbing the experience and lessons of securities market supervision in developed capitalist countries will become the purification of the current securities market. The purpose of this paper is to analyze the current regulatory system of China's securities market and to compare it with foreign developed capitalist countries. To further explore the establishment of a more perfect, more effective securities market supervision mechanism, so that the current securities market is not perfect, the securities market needs to be developed steadily, orderly operation. This paper mainly consists of four parts: firstly, it introduces the meaning, theory and necessity of securities market supervision, and forms a preliminary understanding of securities regulation; secondly, it introduces the United States, Britain, the United States, the United Kingdom, the United States, the United Kingdom, the United States, the United Kingdom, the United States and the United Kingdom. Germany's securities market regulatory system, and analysis of their respective characteristics; third, a detailed introduction of China's securities regulatory development and regulatory methods-government supervision and regulatory self-regulation, By expounding and understanding the deficiencies of the securities market supervision system in China, 4th, combining the current regulatory situation of our country and the advanced experience of developed countries and regions, on the basis of the previous analysis of the specific problems existing in the securities regulatory market, This paper reconstructs the regulatory status and responsibility of the existing administrative supervision and self-regulation in the securities market.
【學(xué)位授予單位】：山東大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：D922.287;F832.51

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