【摘要】：證券市場是國民經(jīng)濟(jì)發(fā)展的重要組成部分，股市是經(jīng)濟(jì)發(fā)展的“晴雨表”。通過證券市場企業(yè)可以擴(kuò)大融資規(guī)模、獲得快速發(fā)展；投資者可以利用股市獲取股息和紅利。目前我國證券市場尚不成熟，不良現(xiàn)象時有發(fā)生，如欺詐發(fā)行、操縱股市、內(nèi)幕交易、欺詐客戶等等。證券欺詐現(xiàn)象一旦監(jiān)管不力，會干擾國家的收入分配制度，極大破壞投資者信心，影響證券市場對經(jīng)濟(jì)發(fā)展的積極作用。在證券欺詐現(xiàn)象的監(jiān)管中，證監(jiān)會作為政府監(jiān)管主體，責(zé)無旁貸，是政府監(jiān)管的第一責(zé)任人。研究政府如何從事前預(yù)防、事中監(jiān)控、事后懲戒等角度全方位監(jiān)管證券欺詐現(xiàn)象，完善政府監(jiān)管機(jī)制意義重大。 目前，我國證券欺詐現(xiàn)象呈現(xiàn)出新的發(fā)展態(tài)勢。諸如，欺詐金額特別巨大、欺詐手段隱蔽性強(qiáng)、欺詐違法懲戒力度小、欺詐受害者眾多等。本文深入分析證券欺詐現(xiàn)象，以及證券欺詐現(xiàn)象的政府監(jiān)管中的問題，如政府監(jiān)管主體不明確，缺乏證券欺詐的具體監(jiān)管依據(jù)，證監(jiān)會監(jiān)管效率低，，對證監(jiān)會的權(quán)力監(jiān)督缺位等。針對以上問題，借鑒國內(nèi)外有益經(jīng)驗，嘗試提出完善我國證券欺詐現(xiàn)象監(jiān)管的法律法規(guī)、明確證券欺詐現(xiàn)象監(jiān)管主體的職能定位、加強(qiáng)證券欺詐現(xiàn)象的政府監(jiān)管實效、強(qiáng)化證券欺詐現(xiàn)象政府監(jiān)管的監(jiān)督等對策建議，進(jìn)一步完善證券欺詐的政府監(jiān)管機(jī)制，提高證監(jiān)會稽查執(zhí)法效率，構(gòu)建和諧穩(wěn)定的投資環(huán)境，促進(jìn)我國證券市場不斷繁榮發(fā)展。
[Abstract]:The stock market is an important part of national economic development, and the stock market is a barometer of economic development. Through the securities market enterprises can expand the financing scale and get rapid development; investors can use the stock market to obtain dividends and bonuses. At present, China's securities market is not mature, bad phenomena occur from time to time, such as issuing fraud, manipulating stock market, insider trading, cheating customers and so on. Once the supervision of securities fraud is weak, it will interfere with the income distribution system of the country, greatly destroy the confidence of investors, and affect the positive effect of the securities market on the economic development. In the supervision of securities fraud, CSRC, as the main body of government supervision, is the first responsible person in government supervision. It is of great significance to study how the government can supervise securities fraud from the angles of prevention, supervision and punishment. At present, the phenomenon of securities fraud in China presents a new development trend. For example, the amount of fraud is very large, the fraud means are hidden, the punishment of fraud is small, the victims of fraud are numerous, and so on. This paper deeply analyzes the phenomenon of securities fraud and the problems in the government supervision of securities fraud, such as the unclear subject of government supervision, the lack of specific regulatory basis for securities fraud, and the low efficiency of supervision by CSRC. The absence of supervision of the power of the CSRC. In view of the above problems, this paper tries to improve the laws and regulations of securities fraud supervision in China, make clear the functional orientation of the main body of securities fraud supervision, and strengthen the actual effect of government supervision of securities fraud. To strengthen the supervision of government supervision of securities fraud, to further improve the government supervision mechanism of securities fraud, to improve the efficiency of inspection and law enforcement, to build a harmonious and stable investment environment, and to promote the continuous prosperity and development of China's securities market.
【學(xué)位授予單位】：南京工業(yè)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：D922.287

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