發(fā)布時(shí)間：2018-02-26 17:03

  本文關(guān)鍵詞： 證券市場(chǎng) 證券中介機(jī)構(gòu) 誠信建設(shè)　出處：《河北大學(xué)》2013年碩士論文　論文類型：學(xué)位論文

【摘要】：證券經(jīng)濟(jì)是市場(chǎng)經(jīng)濟(jì)的晴雨表，公平、有序、穩(wěn)定的證券市場(chǎng)是國家經(jīng)濟(jì)發(fā)展的重要保證和顯著標(biāo)志。證券中介機(jī)構(gòu)作為連接證券投資人與籌資人的橋梁，是證券市場(chǎng)運(yùn)行的組織系統(tǒng)，證券中介機(jī)構(gòu)能否承擔(dān)其應(yīng)有的誠信義務(wù)是一個(gè)證券市場(chǎng)成熟與否的標(biāo)志。證券中介機(jī)構(gòu)以其信用服務(wù)于社會(huì)，誠信是其經(jīng)營活動(dòng)的基本準(zhǔn)則。證券中介機(jī)構(gòu)的信用是“信用中的信用”，誠信是其最重要的資本。證券中介機(jī)構(gòu)不同于其他企業(yè)，它不是價(jià)格的競爭，而是信息的準(zhǔn)確性、真實(shí)性和客觀性的競爭。它既是誠信制度的維護(hù)者，又是誠信制度的實(shí)踐者，在證券市場(chǎng)中至關(guān)重要。然而自從美國安然事件以來，證券中介機(jī)構(gòu)暴露出來了種種問題，這些問題給證券經(jīng)濟(jì)相對(duì)完善的美國敲響了警鐘，也給正處于證券市場(chǎng)發(fā)展時(shí)期的我國敲響了警鐘。在我國的證券市場(chǎng)中，證券中介機(jī)構(gòu)同樣存在著獨(dú)立性不強(qiáng)，失信成本不高，處罰力度不夠，缺乏完善的證券信用制度等問題。證券中介機(jī)構(gòu)不但沒有成為證監(jiān)會(huì)所希望的“監(jiān)管助手”，很多甚至變成了欺詐違規(guī)者的“伙伴”和策劃、執(zhí)行者。因此，加強(qiáng)證券市場(chǎng)中介機(jī)構(gòu)誠信建設(shè)是我們急需解決的一個(gè)現(xiàn)實(shí)問題，證券中介機(jī)構(gòu)誠信了才能更好的服務(wù)于證券市場(chǎng)，才能推動(dòng)證券市場(chǎng)的誠信。 本文對(duì)證券中介機(jī)構(gòu)的誠信理論進(jìn)行了詳細(xì)的闡述，之后又對(duì)我國證券市場(chǎng)上證券中介機(jī)構(gòu)失信的危害及表現(xiàn)進(jìn)行了分析，在對(duì)此進(jìn)行分析的基礎(chǔ)上得出了我國證券中介機(jī)構(gòu)失信的原因所在。找出原因后關(guān)鍵的是對(duì)癥下藥，，解決問題，文章有針對(duì)性的對(duì)美國證券市場(chǎng)上關(guān)于誠信的各種做法和規(guī)范進(jìn)行研究，研究的目的就是借鑒美國的先進(jìn)經(jīng)驗(yàn)，外為我用，為我國完善證券中介機(jī)構(gòu)誠信建設(shè)提供可以借鑒的可行做法。在綜合考慮我國的現(xiàn)實(shí)情況和美國的相關(guān)制度過程中，本文系統(tǒng)的提出了關(guān)于如何建立健全我國證券中介機(jī)構(gòu)誠信建設(shè)的對(duì)策和路徑希望對(duì)證券市場(chǎng)的誠信發(fā)展提供些許幫助。
[Abstract]:The securities economy is a barometer of the market economy. A fair, orderly and stable securities market is an important guarantee and a remarkable symbol of the country's economic development. It is an organizational system for the operation of the securities market. Whether the securities intermediary institution can undertake its due obligation of good faith is a sign of whether the securities market is mature or not. The securities intermediary institution serves the society with its credit. Good faith is the basic criterion of its business activities. The credit of securities intermediary is "credit in credit", and credit is its most important capital. The securities intermediary is different from other enterprises, it is not the competition of price, but the accuracy of information. The competition of authenticity and objectivity. It is not only the defender of honesty system, but also the practitioner of good faith system, which is of great importance in the securities market. However, since the Enron incident in the United States, the securities intermediary organizations have exposed various problems. These problems have sounded alarm bells for the United States, where the securities economy is relatively perfect, and also for China, which is in the period of development of the securities market. In our country's securities market, there is also a lack of independence of securities intermediary organizations. The cost of dishonesty is not high, the punishment is not enough, and there is a lack of a sound securities credit system. Instead of becoming the "regulatory assistant" that the Securities Regulatory Commission wants, securities intermediaries have even become "partners" and planners of fraud violators. Therefore, strengthening the construction of securities market intermediaries is a practical problem that we urgently need to solve. Only when securities intermediaries can better serve the securities market, can we promote the integrity of the securities market. This paper expounds the theory of honesty and credit of securities intermediary in detail, and then analyzes the harm and performance of dishonesty of securities intermediary in our country's securities market. On the basis of the analysis of this, the reasons for the discredit of securities intermediary organizations in China are obtained. After finding out the reasons, the key is to give the right remedy to solve the problem. The purpose of this study is to learn from the advanced experience of the United States and to use it for our own use. In the process of synthetically considering the reality of our country and the related system of the United States, we can learn from the practice of perfecting the credit construction of securities intermediary organization in our country. This paper systematically puts forward the countermeasures and paths on how to establish and perfect the credit construction of securities intermediary institutions in our country hoping to provide some help for the development of the integrity of the securities market.
【學(xué)位授予單位】：河北大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：D922.287

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