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  本文關鍵詞：論我國證券市場行政監(jiān)管制度　出處：《長春理工大學》2013年碩士論文　論文類型：學位論文

  更多相關文章： 證券市場 行政監(jiān)管 權力配置 監(jiān)督制約

【摘要】：證券市場產(chǎn)生之初是為了資本的運作,目前證券市場則是在我國政治、經(jīng)濟、社會大背景下與國際市場相融合的產(chǎn)物。對于證券市場監(jiān)管國內(nèi)外學者都對其進行了重要的論述,然而對于證券市場中證券市場行政監(jiān)管的重要性卻沒有放到應有的高度上。證券市場行政監(jiān)管對于主體的定位,及與自律監(jiān)管的界線問題是我們應該充分重視的問題,因而對于證券市場行政監(jiān)管問題是我們需要認真研究的重要課題。本文通過歷史分析、國內(nèi)外比較分析、實證分析的手段對我國證券市場行政監(jiān)督進行了論述。首先本文第一部分明確了證券監(jiān)管的概念,正所謂名不正則言不順,只有界定了概念才可以進一步的論述,然后對證券市場行政監(jiān)管的內(nèi)容和證券市場行政監(jiān)管的原則進行了細致的分析。本文第二部分對我國證券市場行政監(jiān)管的歷史沿革和存在的問題進行了論述,通過對歷史沿革的論述可以有一個清析的脈絡,并對證券市場行政監(jiān)管在不同階段起到的作用有一個明確的指引,從而能夠從深層次看出證券市場行政監(jiān)管的現(xiàn)狀和存在的問題。第三部分通過運用國內(nèi)外分析的方法分析了發(fā)達國家證券市場監(jiān)管的起因、內(nèi)容并從中得出對我證券市場行政監(jiān)管所能得到的啟示,從而為完善我國證券市場行政監(jiān)管的作了進一步的鋪墊。本文第四部分對如何完善證券市場行政監(jiān)管提出了幾點意義,通過完善證券市場行政監(jiān)管法律制度,轉變證券市場行政觀念進而加強證券市場行政監(jiān)管權力配置,理清證券市場行政監(jiān)管和自律監(jiān)管的職責界線來完善我國證券市場行政監(jiān)管制度。
[Abstract]:The stock market is for the operation of capital at the beginning of its emergence, but now it is in the politics and economy of our country. In the context of social integration with the international market products. For the securities market supervision domestic and foreign scholars have carried on the important discussion to it. However, the importance of the security market administrative supervision in the securities market has not been put on the level it should be. The position of the securities market administrative supervision to the main body. And the boundary between self-regulation and self-regulation is a problem that we should pay more attention to, so we need to study the issue of administrative supervision of securities market seriously. This paper through historical analysis, comparative analysis at home and abroad. The first part of this paper clarifies the concept of securities supervision. Only the definition of the concept can be further discussed. Then the content of the securities market administrative supervision and the principles of the securities market administrative supervision are analyzed in detail. The second part of this paper discusses the historical evolution and existing problems of the security market administrative supervision in China. Through the historical evolution of the discussion can have a clear analysis of the context, and the securities market administrative supervision in different stages of the role of a clear guide. The third part analyzes the causes of securities market supervision in developed countries by using the method of domestic and foreign analysis. From the content and draw the administrative supervision of our securities market can get enlightenment. The 4th part of this paper puts forward some meanings on how to perfect the administrative supervision of the securities market, through perfecting the legal system of the administrative supervision of the securities market. To perfect the administrative supervision system of China's securities market, we should change the administrative concept of securities market and strengthen the allocation of administrative supervision power of securities market, and clarify the boundary of duties and responsibilities of administrative supervision and self-regulation of securities market.
【學位授予單位】：長春理工大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：D922.1;F832.5

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本文編號：1362692