中美证券监管法律体制比较分析

发布时间：2018-05-15 06:25

本文选题：证券监管 + 监管类型分析　；参考：《河北经贸大学》2011年硕士论文

【摘要】：证券监管是近代以来在法律领域出现的新的概念,是为了应对证券市场营运过程中出现的种种问题而采取的监管措施跟手段以及由此而形成的监管理论体系。中国的证券市场自诞生以来,经过十几年的发展,已逐渐步入正轨,但由于证券市场存在巨大的经济利益,对促进国民经济发展又起到了较大的作用,因此加强监管力度,完善我国的证券监管体系有利于我国证券市场的健康发展。我国的证券市场是在股份制改造的过程中建立完成的,运作初期极不规范,证券市场的自我管理和风险控制能力非常欠缺。在证券市场建立初期,由于监管体制不能同时制定完善,出现了大量的问题,比如市场上存在的大量虚假信息、内幕交易等现象,以及操纵市场、过度投机等行为。这些问题不但损害了投资者的利益,而且也使得证券市场丧失了作为观察国民经济走向的作用。证券监管涉及到多个学科领域,而各学科领域又出现交叉融合,如何对一个年轻的证券市场进行有效的监管成为我国目前面临的一大课题。我国证券市场在发展建立的过程中借鉴了大量发达国家的经验,同样的对于证券监管问题也采纳了发达国家的证券监管制度。美国是世界上公认的证券市场最为成熟和完善的国家,其证券监管体制经过长时间的发展已经相当成熟,其严格的市场监管及制度创新,反映出证券市场监管的基本规律和普遍原则。因此研究美国的证券监管法律制度对完善我国证券监管体制和促进证券市场的健康发展有着巨大的现实意义和理论意义。证券监管涉及的内容很广,关于监管制度的分析也不仅仅是法律讨论的对象,其中也包含了西方经济学、产业组织理论、交易理论、金融创新理论等研究方向。本文旨在结合中美证券监管的实际,力求准确、科学地描述证券监管法律制度的演变与发展,并旨在探讨在越来越多的证券市场全球化的趋势下,如何加强我国证券市场的监管以求不断完善证券市场的职能,实现我国证券经济的长足发展。
[Abstract]:Securities supervision is a new concept in the field of law since modern times. It is the regulatory measures and means taken to deal with the problems in the operation of the securities market and the regulatory theoretical system formed therefrom. Since the birth of China's securities market, after more than ten years of development, it has gradually entered the right track. However, due to the huge economic interests of the securities market, it has played a greater role in promoting the development of the national economy, so it has strengthened supervision and control. Perfecting China's securities regulatory system is conducive to the healthy development of China's securities market. The stock market of our country is established in the process of stock system reform, and the initial stage of operation is extremely irregular, and the ability of self-management and risk control of the securities market is very short. In the early stage of the establishment of the securities market, a large number of problems appeared because the regulatory system could not be established at the same time, such as a large number of false information, insider trading and other phenomena in the market, as well as manipulation of the market, excessive speculation and so on. These problems not only harm the interests of investors, but also make the securities market lose its function as a way to observe the trend of national economy. The securities supervision involves many disciplines, and the intersecting of the various disciplines appears. How to effectively supervise a young securities market has become a major issue facing our country at present. In the course of the development and establishment of the securities market in China, the experience of a large number of developed countries has been used for reference, and the securities supervision system of the developed countries has also been adopted in the same way. The United States is recognized as the most mature and perfect country in the securities market in the world. Its securities regulatory system has been quite mature after a long period of development, and its strict market supervision and institutional innovation. Reflects the securities market regulation of the basic law and universal principles. Therefore, it is of great practical and theoretical significance to study the legal system of securities supervision in the United States to perfect the securities regulatory system of our country and to promote the healthy development of the securities market. Securities regulation involves a wide range of content, the analysis of regulatory system is not only the object of legal discussion, but also includes Western economics, industrial organization theory, trading theory, financial innovation theory and other research directions. The purpose of this paper is to accurately and scientifically describe the evolution and development of the legal system of securities supervision in the light of the reality of securities regulation in China and the United States, and to explore the trend of globalization of the securities market. How to strengthen the supervision of the securities market in order to improve the function of the securities market and realize the rapid development of our securities economy.
【学位授予单位】：河北经贸大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D971.2;D922.287;F832.51;F837.12

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