本文選題：證券市場違法違規(guī)現(xiàn)象 + 治理��； 參考：《中國社會科學院研究生院》2017年碩士論文

【摘要】：本文所指的證券市場,既包括所有的證券發(fā)行場所,也包括所有的證券交易場所。在全面收集我國證券市場各類監(jiān)管機構在2013年、2014年和2015年所查處案件詳細資料的基礎上,通過對證券市場各類主體的違法違規(guī)行為的分析可以發(fā)現(xiàn),針對不同證券市場主體的違法違規(guī)特點,監(jiān)管機構在統(tǒng)一監(jiān)管的前提下,往往也會突出其各自的監(jiān)管重點。當前證券市場違法違規(guī)治理狀況愈發(fā)復雜。日新月異的新型操縱市場行為、愈發(fā)復雜的內(nèi)幕交易行為、變幻莫測的非法證券活動,以及全新的混業(yè)經(jīng)營領域,都給監(jiān)管者的監(jiān)管工作帶來了巨大的挑戰(zhàn)。監(jiān)管者應當未雨綢繆,做好針對性的準備工作。此外,在證券市場違法違規(guī)治理中,諸多問題凸顯。證券民事賠償制度的實施陷入困境,對新型證券市場違法行為、法人利用他人賬戶買賣證券以及資產(chǎn)管理行業(yè)人員利用未公開信息交易的監(jiān)管效果亦不盡如人意。為此,要加快完善證券民事賠償制度,調(diào)整證券市場監(jiān)管體制,進一步推進監(jiān)管執(zhí)法體系的完善。通過采取這一系列措施,切實改善我國證券市場違法違規(guī)治理狀況。
[Abstract]:This article refers to the securities market, including both all securities issuance sites, including all securities trading places. On the basis of the comprehensive collection of detailed information on the cases investigated and dealt with by various regulatory bodies in China's securities market in 2013, 2014 and 2015, we can find that through the analysis of the illegal and illegal acts of various main bodies in the securities market, According to the illegal and illegal characteristics of different securities market subjects, the regulatory institutions often highlight their respective regulatory priorities under the premise of unified supervision. The current securities market illegal governance situation is more complex. The new market manipulation with each passing day, the increasingly complex insider trading behavior, the unpredictable illegal securities activities, as well as the new mixed operation field, have brought enormous challenges to the supervision work of the regulators. Regulators should prepare ahead of time and make targeted preparations. In addition, in the securities market illegal governance, many problems highlighted. The implementation of the civil compensation system of securities is in difficulty, and the regulatory effect of the illegal behavior of the new securities market, the use of other people's accounts by legal persons to buy and sell securities and the use of non-public information transactions by personnel in the asset management industry is not satisfactory. Therefore, it is necessary to speed up the improvement of the securities civil compensation system, adjust the securities market supervision system, and further promote the perfection of the supervision and enforcement system. Through the adoption of this series of measures, effectively improve our securities market illegal governance.
【學位授予單位】：中國社會科學院研究生院
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D922.287

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