我国证监会行政法律地位改革比较研究
发布时间：2018-08-24 17:39
【摘要】：在全球经济高度一体化的今天，证券市场作为大规模资金全球化流动的场所，对全球经济的繁荣稳定发挥着越来越大的作用。2008年由美国次贷危机引起的全球性金融风暴再次明确表明了证券监管的重要性。有鉴于此，随着全球经济的进一步发展，世界各主要国家日益认识到行政法制在证券监管活动中的重要作用，根据证券市场的新情况，不断适时调整本国的证券监管体制。 当今世界的证券监管模式大致可分为政府监管主导型和自律监管主导型两种。美国、英国、德国等作为西方主要资本主义国家，证券市场历史长、规模大，监管法律比较完备、制度比较严格，具有典型性。我国证券市场起步较晚，在上世纪90年代后期才基本建立起证券监管行政法制，，确立了以中国证监会为核心的覆盖全国的证券监管体系，之后仍然不断作出各种微调。中国证监会在设立之初的本意是成为独立监管的机构，但受限于我国的国情，中国证监会一直未能发挥出独立监管机构的优势，造成一系列的理论不协调和现实尴尬。 完善我国的证券监管体制，首先应从中国证监会入手，改革其行政法律地位是关键。只有明确中国证监会的行政法律地位，才能对该地位产生的职权进行规范，进而达到约束中国证监会、有效进行市场监管的最终目的。对中国证监会的法律地位和职能进行改造应从两个方面着手。一方面，应加强其独立的法律地位，防止行政机关对其施加过大的影响；另一方面，为适应中国证监会的独立监管地位，有必要对中国证监会的职权进行重新构造和完善。
[Abstract]:Today, when the global economy is highly integrated, the securities market is the place where the large-scale flow of capital flows. The global financial turmoil caused by the U.S. subprime mortgage crisis in 2008 clearly demonstrated the importance of securities regulation. In view of this, with the further development of the global economy, the major countries in the world are increasingly aware of the important role of the administrative legal system in the activities of securities supervision. According to the new situation of the securities market, they constantly adjust their securities regulatory system in a timely manner. The securities regulatory model in the world can be divided into two types: government supervision and self-regulation. As major western capitalist countries, the United States, Britain and Germany have a long history, a large scale, a relatively complete regulatory law, a relatively strict system, and are typical. The securities market of our country started relatively late in the late 1990s, it was only in the late 1990s that the administrative legal system of securities supervision was basically established, and the securities supervision system covering the whole country with CSRC as the core was established. After that, various fine adjustments were made continuously. China Securities Regulatory Commission (CSRC) was originally set up to be an independent supervision institution, but limited by the national conditions of our country, CSRC has been unable to give play to the advantages of independent regulatory agencies, resulting in a series of theoretical disharmony and practical embarrassment. To perfect the securities supervision system of our country, we should start with CSRC, and reform its administrative legal status is the key. Only by making clear the administrative legal status of CSRC, can the authority of CSRC be standardized, and the ultimate purpose of restricting CSRC and effectively carrying out market supervision can be achieved. The legal status and function of CSRC should be reformed from two aspects. On the one hand, we should strengthen its independent legal status and prevent the administrative organs from exerting too much influence on it; on the other hand, in order to adapt to the independent supervisory status of CSRC, it is necessary to reconstruct and perfect the functions and powers of CSRC.
【学位授予单位】：上海社会科学院
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.1;F832.51
本文编号：2201552
[Abstract]:Today, when the global economy is highly integrated, the securities market is the place where the large-scale flow of capital flows. The global financial turmoil caused by the U.S. subprime mortgage crisis in 2008 clearly demonstrated the importance of securities regulation. In view of this, with the further development of the global economy, the major countries in the world are increasingly aware of the important role of the administrative legal system in the activities of securities supervision. According to the new situation of the securities market, they constantly adjust their securities regulatory system in a timely manner. The securities regulatory model in the world can be divided into two types: government supervision and self-regulation. As major western capitalist countries, the United States, Britain and Germany have a long history, a large scale, a relatively complete regulatory law, a relatively strict system, and are typical. The securities market of our country started relatively late in the late 1990s, it was only in the late 1990s that the administrative legal system of securities supervision was basically established, and the securities supervision system covering the whole country with CSRC as the core was established. After that, various fine adjustments were made continuously. China Securities Regulatory Commission (CSRC) was originally set up to be an independent supervision institution, but limited by the national conditions of our country, CSRC has been unable to give play to the advantages of independent regulatory agencies, resulting in a series of theoretical disharmony and practical embarrassment. To perfect the securities supervision system of our country, we should start with CSRC, and reform its administrative legal status is the key. Only by making clear the administrative legal status of CSRC, can the authority of CSRC be standardized, and the ultimate purpose of restricting CSRC and effectively carrying out market supervision can be achieved. The legal status and function of CSRC should be reformed from two aspects. On the one hand, we should strengthen its independent legal status and prevent the administrative organs from exerting too much influence on it; on the other hand, in order to adapt to the independent supervisory status of CSRC, it is necessary to reconstruct and perfect the functions and powers of CSRC.
【学位授予单位】：上海社会科学院
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.1;F832.51
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