發(fā)布時間：2018-01-30 02:11

  本文關(guān)鍵詞： 證券市場 監(jiān)管體制 問題 對策　出處：《西北師范大學(xué)》2013年碩士論文　論文類型：學(xué)位論文

【摘要】：證券市場的規(guī)范與發(fā)展，與一國社會經(jīng)濟發(fā)展與穩(wěn)定休戚相關(guān)，而證券監(jiān)管是證券市場健康、良性發(fā)展的重要保障和基礎(chǔ)，證券交易的高專業(yè)化程度和證券從業(yè)者之間的利益相關(guān)性以及證券市場運作本身的龐雜性決定了證券監(jiān)管的客觀需要。無論是西方成熟市場還是發(fā)展中國家新興市場，雖然世界各國對證券監(jiān)管的表述、手段、方式、內(nèi)容、力度有所不同，但保護投資者合法權(quán)益，保證市場公平、有效和透明，控制和減低交易系統(tǒng)風險，促進有利于投資和經(jīng)濟增長環(huán)境的設(shè)立，維護社會經(jīng)濟秩序和社會公共利益，促進經(jīng)濟發(fā)展的理念，都不可否定地同為證券監(jiān)管的共同目標或宗旨。 本人查閱了大量的國內(nèi)外證券市場相關(guān)理論研究文獻資料，從證券監(jiān)管的意義、國內(nèi)相關(guān)研究發(fā)展現(xiàn)狀、國外相關(guān)理論研究、我國證券市場監(jiān)管存在的問題、針對問題的證券監(jiān)管對策研究等幾方面展開論述。通過大量有力的數(shù)據(jù)、實例，大膽正視我國證券市場在快速發(fā)展中存在的問題以及監(jiān)管體制在制定、執(zhí)行中面臨的諸多難題，同時也揭示了市場監(jiān)管中的缺失部份、努力方向和必要性、緊迫性，，立足于切實保護投資者合法權(quán)益，促進證券市場規(guī)范、健康、有序、高效，從而帶動和確保國民經(jīng)濟的穩(wěn)定與發(fā)展。
[Abstract]:The standardization and development of the securities market is closely related to the social and economic development and stability of a country, and securities supervision is an important guarantee and foundation for the healthy and healthy development of the securities market. The high degree of specialization of securities trading, the correlation between the interests of securities practitioners and the complexity of the operation of securities market itself determine the objective need of securities supervision. The market. Although the countries all over the world have different expressions, means, methods, contents and dynamics to the securities supervision, but to protect the legitimate rights and interests of investors, to ensure that the market is fair, effective and transparent, to control and reduce the risk of trading system. The idea of promoting the establishment of investment and economic growth environment, maintaining social economic order and social public interests, and promoting economic development can not be denied as the common goal or purpose of securities supervision. I have consulted a large number of domestic and foreign securities market related theoretical research literature, from the significance of securities regulation, domestic related research and development status, foreign related theoretical research, China's securities market regulatory problems. Through a large number of powerful data, examples, bold face to face the problems in the rapid development of China's securities market and regulatory system in the formulation. At the same time, it also reveals the lack of market supervision, the direction and necessity of efforts, urgency, based on the protection of legitimate rights and interests of investors, to promote the regulation of the securities market, healthy. Orderly, efficient, thus driving and ensuring the stability and development of the national economy.
【學(xué)位授予單位】：西北師范大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：F832.51;D922.287

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本文編號：1475005