国际证监会组织研究

发布时间：2018-04-06 21:23

本文选题：国际证监会组织　切入点：跨国监管网　出处：《西南政法大学》2011年硕士论文

【摘要】：国际证监会组织是最主要的证券监管国际组织,其成员来自全世界一百多个国家和地区,监管着全球95%以上的资本市场。国际证监会组织在国际证券监管中起着巨大的作用,为促进国际监管合作做出了很大的努力,发布了大量的决议和报告,尤其是《证券监管的目标和原则》和《多边谅解备忘录》,为提高各国的证券监管水平和促进国际合作打击证券欺诈起到了至关重要的作用。国际证监会组织极大地影响着证券监管国际准则的发展,被认为是证券市场的国际标准制定者。国际证监会组织不是一个正式的国际组织,而是一个“跨国监管网”。它的这种性质决定了其特有的运作方式与监管模式。国际证监会组织制定的规则对其成员是没有约束力的,但它的成员都承诺在各自的管辖区内尽最大的努力确保遵守组织的规则。这种没有约束力,没有强制性的规则体现出了国际证监会组织“跨国监管网”的灵活性。深入研究国际证监会组织有助于我们了解证券监管的国际现状与趋势,对我国提高监管水平和加强监管的国际合作都将产生重大的影响。我国在1995年加入了国际证监会组织,透彻地了解国际证监会组织的运作方式、取得的成就和局限性等方方面面,都对我国开展在国际证监会组织的工作大有裨益,有利于我国积极地参与国际证监会组织的活动,影响证券监管的国际规则以及增加国际话语权。同时,对国际证监会组织的研究也会对其他的非正式国际组织产生借鉴作用,有利于国际组织的发展。本文采用了历史分析法、理论分析法,规范研究与实证分析相结合的方法,抓住国际证监会组织“跨国监管网”的特征,研究了其历史发展和基本的运作情况、监管的内容与方式、重要规范性文件,即取得的成就,其规则的软法性效力,其在国际证券监管领域的局限和效力,以及对我国产生的影响。本文分为五个部分: 第一部分对国际证监会组织作了基本的介绍,概述了其历史发展,会员类别及入会程序,组织结构和其“跨国监管网”的特征。第二部分阐述了国际证监会组织的监管内容和方式。国际证监会组织的监管范围非常广泛,涉及到了证券市场的各个方面,本部分列举了其具体监管的几个问题。国际证监会组织的监管是不具有强制性的,主要是通过发布报告,制定准则,再由其成员转化为国内法的方式达到其监管目的。第三部分研究了国际证监会组织的两个重要性文件《证券监管的目标和原则》和《多边谅解备忘录》,这是国际证监会组织成立以来取得的最大成就。这两个文件对提高各国的证券监管水平,促进国际合作打击证券欺诈起到了举足轻重的作用。第四部分揭示了国际证监会组织规则的软法效力,并分析了其采用软法的原因及结果,软法性规则映射出了国际证监会组织的非正式性和灵活性。第五部分从国际证监会组织的“跨国监管网”特征方面分析了其局限与效力,研究了它所面临的国内限制和国际合作问题,并就此论述了其有效及失效的情形。第六部分阐述了国际证监会组织对我国产生的影响,并且对我国参与国际证监会组织的活动提出了建议。
[Abstract]:IOSCO is the main international securities regulatory organization, its members from more than 100 countries and regions around the world, more than 95% of global regulatory capital market. IOSCO plays an important role in the supervision of international securities, make great efforts to promote international cooperation in financial supervision, issued a resolution and the report, especially the securities regulatory objectives and principles of the < > and < > multilateral memorandum of understanding, in order to improve the national securities regulatory standards and the promotion of international cooperation is essential to the fight against securities fraud. IOSCO greatly affects the development of international standards of securities regulation, it is thought to develop the securities market the international standard.
IOSCO is not a formal international organization, but a "transnational regulatory network". The nature of its unique mode of operation and supervision mode. IOSCO rules are not binding on its members, but its members are committed to the utmost efforts to ensure compliance with the organization the rules in their jurisdiction. This is not binding, no mandatory rules reflect the IOSCO "transnational regulatory network flexibility.
Study IOSCO helps us to understand the current situation and trend of international securities regulation in China, to improve the level of supervision and strengthen international cooperation on supervision will have a significant impact. In 1995 China joined the international organization of Securities Commissions, a thorough understanding of the IOSCO mode of operation, achievements and limitations we have all aspects of our country to carry out the work to be of great advantage IOSCO, is conducive to China's active participation in international activities organized by the Commission, the international rules of securities regulation and increasing the international discourse power. At the same time, will also have reference to the informal with other international organizations in international studies IOSCO, conducive to the development of international organizations.
This paper uses the method of historical analysis, theoretical analysis, normative research method and empirical analysis, to seize the International Commission Organization "international supervision network", and study its historical development and basic operation situation, contents and methods of supervision, important normative documents, namely the achievements of soft law the effectiveness of the rules, the International Securities Supervision in the field of limitation and effectiveness, and the influence to our country. This paper is divided into five parts:
The first part gives a brief introduction to the organization of the international securities and Futures Commission, and outlines its historical development, membership categories and membership procedures, organizational structure and characteristics of its "transnational regulatory network".
The second part elaborates the IOSCO supervision contents and methods. The IOSCO regulation range is very wide, involving all aspects of the securities market, this part lists the problems of the specific supervision. IOSCO regulation is not mandatory, mainly through the report standard setting, and then by its members into domestic law way to achieve the purpose of regulation.
The third part of the international organization of the Commission's two importance of document the objectives and principles of securities regulation < > and < > multilateral memorandum of understanding, which is the greatest achievement of international organization since the establishment of the Commission made. These two documents to improve the securities supervision level, to promote international cooperation in the fight against securities fraud played a pivotal role.
The fourth part reveals the soft law effect of the rules of the International Securities Regulatory Commission, and analyzes the reasons and results of the adoption of the soft law. The soft law rules reflect the informality and flexibility of the International Securities Regulatory Commission.
The fifth part from the international organization of Securities Commissions "transnational supervision network" characteristic analysis of its limitations and the effect of the problems it faces restrictions on domestic and international cooperation, and discusses its effective and failure situation. The sixth part expounds the IOSCO impacts on China, and to me China's participation in international activities organized by the Commission put forward suggestions.

【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.2;F831.51

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