香港證券市場監(jiān)管中的法律問題研究及借鑒意義
[Abstract]:After more than 100 years of development, Hong Kong's securities market has developed into a pivotal international securities market, playing an important role on the stage of the world capital market. Gradually become an important international financial center and the financial center of the Asia-Pacific region. In the past two decades, Hong Kong's capital market has made great contributions to China's reform, opening up and economic development. It has not only raised extremely valuable development funds for a large number of enterprises in the mainland. And also brought financial management and business management experience. Based on the analysis and study of the development of Hong Kong's securities market, the mode of supervision, the subject of supervision, the legal norm and the content of supervision, this paper discusses the source and experience of the healthy development of Hong Kong's securities market over the years. And then expect it to have a clear regulatory framework, advanced regulatory concepts and models, a sound market system, clear regulatory principles, sound laws and regulations, and strong and effective sanctions. The rich financial variety and socialized securities market service can be used for reference by us to develop the domestic securities market, and the direction that we should strive to further develop the domestic securities market is put forward. This paper is divided into six chapters. The first chapter analyzes the history of the development of Hong Kong's securities market, points out that the constituent elements of Hong Kong's securities market include participants, trading objects and trading places, and expounds its main index and characteristics. The second chapter discusses the composition of the legal norms of the supervision of the Hong Kong securities market in detail, and summarizes the characteristics of the legal norms of the securities market in Hong Kong on this basis; The third chapter introduces the main body of supervision of Hong Kong's securities market and analyzes its advantages, the fourth chapter discusses the supervision mode of Hong Kong's securities market, especially the self-regulation of the exchange and the supervision of the exchange by the Securities Regulatory Commission. The fifth chapter expounds the contents of the supervision of Hong Kong's securities market, including the supervision of the issuing market, the supervision of the trading market, the supervision of the operating institutions, the supervision of the investors, the supervision of the market manipulation and the supervision of the insider trading. The sixth chapter analyzes the supervision of China's securities market, and puts forward the enlightenment and reference significance of the Hong Kong stock market supervision experience to the mainland securities market supervision.
【學(xué)位授予單位】:大連海事大學(xué)
【學(xué)位級別】:碩士
【學(xué)位授予年份】:2012
【分類號】:D922.287;F832.51
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