跨境证券交易法律监管模式研究

发布时间：2018-05-24 09:02

本文选题：陆港通 + 法律监管　；参考：《广西民族大学学报(哲学社会科学版)》2017年05期

【摘要】：随着沪港通、深港通的实施和"一带一路"战略的推行,境内与境外之间的证券跨境交易将趋于频繁。为了对跨境证券交易进行有效的法律监管,中国必须借鉴境外的有益经验,完善跨境直通交易监管的法律框架。跨境证券交易的监管模式有四种,分别是单边监管模式、双边协作监管模式、超国家监管模式、国际组织牵头的多边监管模式。中国应限制单边监管模式的使用范围,加强跨境合作。
[Abstract]:With the Hong Kong and Shanghai, Shenzhen and Hong Kong through the implementation of the "The Belt and Road" and the implementation of the strategy, between inside and outside of the cross-border securities transactions will become more and more frequent. In order to carry out effective supervision of cross-border securities transactions, China must learn from the useful experience abroad, improve the legal framework for cross-border supervision. To make cross-border securities transactions supervision model There are four types: unilateral supervision mode, bilateral cooperative supervision mode, super state supervision model, and multilateral supervision model led by international organizations. China should limit the scope of use of unilateral regulatory model and strengthen cross-border cooperation.
【作者单位】：厦门大学法学院;
【基金】：国家社科基金项目“全球金融治理的困境及其破解的国际政治与法律路径研究”(项目编号:16BFX181)
【分类号】：D996.2

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