本文關(guān)鍵詞：我國證券市場監(jiān)管有效性的法經(jīng)濟學分析　出處：《湖南師范大學》2013年碩士論文　論文類型：學位論文

  更多相關(guān)文章： 市場失靈 政府監(jiān)管 成本——收益分析 有效性

【摘要】：證券投資市場近些年來成為社會中熱門的話題,在此背景之下,社會各界都在呼吁要更好的保護投資者的利益,有關(guān)的學術(shù)界人士也提出了各種建議。但應(yīng)當看到的是,證券市場中一些多年沒能解決的問題持續(xù)的困擾著我們,在對市場進行監(jiān)管的過程中,依然存在著許多的不足之處,到底是哪些因素在影響著監(jiān)管的有效性?我們需要透過現(xiàn)象看到本質(zhì),而不能僅僅從監(jiān)管的于段和力度上做文章。本文結(jié)合我國目前證券市場的實際情況,從歷史和實證的角度,利用法經(jīng)濟學的成本—收益范式,以效益最大化為目標,對我國證券市場監(jiān)管的相關(guān)制度進行了分析和評價,以求找到合理的制度安排,實現(xiàn)效益最大化。根據(jù)經(jīng)濟學原理我們知道：市場會出現(xiàn)失靈,對于我們國家證券市場監(jiān)管中存在的一些問題,依據(jù)這一經(jīng)濟學原理進行評析,指出監(jiān)管存在的合理性及其存在的問題,并對未來的監(jiān)管制度作了展望；在探討如何實現(xiàn)我國證券市場監(jiān)管有效性的過程中,本文閘述了在監(jiān)管過程如何劃定政府和市場的邊界,并對執(zhí)法的效率做了成本——收益分析。閘釋了全球化時代我國證券市場的新發(fā)展,指出了我國證券市場監(jiān)管中存在的固有問題,包括監(jiān)管理念、監(jiān)管方式和監(jiān)管體制上存在的問題,對丁如何在經(jīng)濟全球化背景下提升我國證券市場監(jiān)管的有效性,本文提出了需要正確處理監(jiān)管機構(gòu)和市場的關(guān)系,增加法律的供給意愿,并降低相應(yīng)的供給成本；加大處罰力度,提高違法成本合理設(shè)計處罰機制,降低執(zhí)法的成本；完善市場的激勵機制,增加守法收益；完善證券市場的監(jiān)管體制,降低監(jiān)管成本；樹立適度監(jiān)管的原則,降低成本的投入七項對策。
[Abstract]:The securities investment market has become a hot topic in the society in recent years. Under this background, all sectors of society are calling for better protection of the interests of investors. Relevant academics have also put forward a variety of proposals. But it should be noted that some of the securities market has not been able to solve the problems that continue to haunt us, in the process of supervision of the market. There are still many shortcomings, which factors affect the effectiveness of regulation? We need to see the essence through the phenomenon, but not just from the regulation of the paragraph and strength. This article combines the actual situation of our current securities market, from the historical and empirical point of view. Using the cost-benefit paradigm of law and economics, this paper analyzes and evaluates the relevant systems of securities market supervision in China with the aim of maximizing the benefits, in order to find out reasonable institutional arrangements. According to the principle of economics, we know that the market will be out of order. Some problems existing in the supervision of our country's securities market are evaluated according to this economic principle. The rationality of supervision and its problems are pointed out, and the future supervision system is prospected. In the course of discussing how to realize the effectiveness of supervision in China's securities market, this paper discusses how to delimit the boundary between the government and the market in the process of supervision. It also analyzes the efficiency of law enforcement, explains the new development of China's securities market in the era of globalization, and points out the inherent problems in the supervision of China's securities market, including the concept of supervision. In view of the problems existing in the mode and system of supervision, this paper puts forward the need to correctly deal with the relationship between the regulatory agencies and the market, as to how to improve the effectiveness of the supervision of the securities market in China under the background of economic globalization. Increase the supply willingness of the law and reduce the corresponding supply cost; Strengthen punishment, raise the cost of breaking the law, design the punishment mechanism reasonably, and reduce the cost of law enforcement; Perfect the incentive mechanism of the market, increase the benefit of abiding by the law; Perfecting the supervision system of the securities market and reducing the supervision cost; Set up the principle of moderate supervision, reduce the cost of investment seven countermeasures.
【學位授予單位】：湖南師范大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：D922.287

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本文編號：1374371