發(fā)布時間：2018-06-26 00:52

  本文選題：自律監(jiān)管 + 證券交易所　； 參考：《山東大學》2009年碩士論文

【摘要】： 證券市場在我國經(jīng)濟發(fā)展中占有重要的地位。對于證券業(yè)的監(jiān)管可分為政府監(jiān)管和自律監(jiān)管,兩者分工合作,共同維護著證券市場的健康發(fā)展。我國證券市場是在政府主導下建立的,政府監(jiān)管一直以來在證券監(jiān)管體系中占據(jù)主導作用,自律監(jiān)管長期沒有得到應有的重視,嚴重制約了我國證券市場的健康發(fā)展。隨著市場經(jīng)濟的進一步發(fā)展,自律監(jiān)管必將在維護我國證券市場正常秩序,促進證券市場繁榮發(fā)展上發(fā)揮其更大的作用。 本文共分五章。第一章介紹了證券市場監(jiān)管的一些基本概念問題,首先從介紹證券市場監(jiān)管模式開始,進而探究自律的起源,自律監(jiān)管的概念,分析了自律監(jiān)管的優(yōu)勢和局限,辨析了政府監(jiān)管和自律監(jiān)管的相互關系。第二章,對證券市場自律監(jiān)管的四大法律特征進行了理論分析分析,并從經(jīng)濟學和社會學的角度論證了自律監(jiān)管存在的合理性。第三章,是對域外發(fā)達國家證券市場自律監(jiān)管體系進行了考察分析,并總結(jié)了對我國完善監(jiān)管體系的幾點啟示,指出我國應當從構建完善的法律制度體系,培育自律文化,注重政府權力的適度監(jiān)管等幾個方面加強自律監(jiān)管。第四章,主要分析論述了我國證券自律監(jiān)管的發(fā)展歷程和現(xiàn)狀,剖析了目前自律監(jiān)管存在的問題,指出我國證券市場的自律監(jiān)管存在著政府監(jiān)管權力過大,自律機構權威性不足,自律規(guī)則缺乏操作性等現(xiàn)實問題。第五章,在總結(jié)分析借鑒發(fā)達國家的成功經(jīng)驗,并結(jié)合我國的現(xiàn)實問題后,提出了合理構建政府監(jiān)管和自律監(jiān)管平衡關系,樹立自律監(jiān)管權威,以及增強自律監(jiān)管的具體措施。
[Abstract]:The securities market plays an important role in the economic development of our country. The supervision of securities industry can be divided into government supervision and self-regulation. They work together to maintain the healthy development of the securities market. The securities market of our country is established under the guidance of the government. The government supervision has been playing a leading role in the securities supervision system for a long time, the self-regulation has not been paid due attention, which seriously restricts the healthy development of the securities market in our country. With the further development of market economy, self-regulation will play a greater role in maintaining the normal order of China's securities market and promoting the prosperity and development of the securities market. This paper is divided into five chapters. The first chapter introduces some basic concept problems of securities market supervision, starting with the introduction of securities market supervision model, and then explores the origin of self-discipline, the concept of self-regulation, and analyzes the advantages and limitations of self-regulation. The relationship between government supervision and self-regulation is analyzed. In the second chapter, the four legal characteristics of self-regulation in securities market are theoretically analyzed, and the rationality of the existence of self-regulation is demonstrated from the angle of economics and sociology. In the third chapter, the author makes an investigation and analysis on the system of self-discipline supervision in the securities markets of the developed countries, and summarizes the enlightenment of perfecting the supervision system of our country, and points out that our country should build a perfect legal system and cultivate the self-discipline culture from the point of view of constructing the perfect legal system. Pay attention to the moderate supervision of government power and other aspects to strengthen self-regulation. The fourth chapter mainly analyzes the development course and current situation of securities self-regulation in our country, analyzes the existing problems of self-regulation, and points out that the self-regulation of securities market in our country has too much government supervision power. Lack of authority of self-discipline institutions, lack of operation of self-discipline rules and other practical problems. Chapter five, after summing up and analyzing the successful experiences of developed countries and combining with the practical problems in our country, the author puts forward some concrete measures to build the balance between government supervision and self-discipline supervision, to establish the authority of self-discipline supervision, and to strengthen the self-discipline supervision.
【學位授予單位】：山東大學
【學位級別】：碩士
【學位授予年份】：2009
【分類號】：F832.51;D922.287

【引證文獻】

相關碩士學位論文 前1條

1 顏娟;證券投資基金自律制度研究[D];湖南大學;2010年

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本文編號：2068301