美國證券市場監(jiān)管的分析與借鑒
發(fā)布時間:2018-09-11 18:14
【摘要】:美國證券市場之所以能保持在世界上無與倫比的優(yōu)勢,除其強(qiáng)大的經(jīng)濟(jì)實力外,與其運作良好的多元化市場監(jiān)管關(guān)系密切。在美國證券市場,除證監(jiān)會強(qiáng)大的行政監(jiān)管以及行業(yè)自律等配合型監(jiān)管外,法律還允許投資人通過威懾力巨大的證券集團(tuán)訴訟尋求司法救濟(jì)。不僅如此,市場自發(fā)的多種監(jiān)督力量也為公平、公開的證券市場秩序作出了有益的貢獻(xiàn)。我國證券市場也存在多元化監(jiān)管機(jī)制,但整體運作效果不佳。讓證券市場中的各方主體通過廣泛、有效的社會監(jiān)督共同擔(dān)負(fù)起證券市場健康發(fā)展的責(zé)任,這既是美國證券監(jiān)管的特色,也是我國需要重點借鑒之處。
[Abstract]:The reason why the US securities market can maintain its unparalleled advantages in the world is that besides its strong economic strength, it is closely related to its well-functioning diversified market supervision. Securities class action seeks judicial relief. Moreover, the spontaneous supervision of the market has made a useful contribution to the fair and open order of the securities market. To shoulder the responsibility for the healthy development of the securities market is not only the characteristic of the securities supervision in the United States, but also the key reference for our country.
【作者單位】: 復(fù)旦大學(xué)法學(xué)院;
【基金】:國家社科基金重點項目:“我國證券群體訴訟的模式選擇與制度構(gòu)建研究”(項目批準(zhǔn)號:11AFX006)的階段性研究成果
【分類號】:D971.2;DD912.28
[Abstract]:The reason why the US securities market can maintain its unparalleled advantages in the world is that besides its strong economic strength, it is closely related to its well-functioning diversified market supervision. Securities class action seeks judicial relief. Moreover, the spontaneous supervision of the market has made a useful contribution to the fair and open order of the securities market. To shoulder the responsibility for the healthy development of the securities market is not only the characteristic of the securities supervision in the United States, but also the key reference for our country.
【作者單位】: 復(fù)旦大學(xué)法學(xué)院;
【基金】:國家社科基金重點項目:“我國證券群體訴訟的模式選擇與制度構(gòu)建研究”(項目批準(zhǔn)號:11AFX006)的階段性研究成果
【分類號】:D971.2;DD912.28
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