证券监管自由裁量权及其制约机制研究  

Study on Securities Regulatory Discretion and It's Supervision Mechanisms

作　　者：章铁生[1,2] 修俊勇[1,2] 徐德信[2] 

机构地区：[1]安徽工业大学管理学院,安徽马鞍山243002 [2]安徽工业大学公司治理与运营研究中心,安徽马鞍山243002

出　　处：《上海立信会计学院学报》2011年第3期12-18,共7页Journal of Shanghai Lixin University of Commerce

基　　金：国家社会科学基金青年项目(10CJL022);教育部规划基金课题(08JA790001);安徽省高等学校人文社会科学重点研究基地重大项目(2009sk171zd);全国会计领军(后备)人才项目

摘　　要：缘于证券法律的不完备以及证券监管技术性和效率性的要求,证券监管及其自由裁量权的存在有其必然性。由于行使过程中有一定的自由裁量空间和个人判断,证券监管自由裁量权可能会被滥用,表现为证券监管机构拖延甚至不履行职责、在具体证券监管行为中监管措施前后不一、滋生权力寻租等。为维护社会秩序的公正与公平,将证券监管自由裁量权被滥用的可能性降到最低,需要完善实体法和程序法来限制证券监管自由裁量权的范围与幅度,强化行政和司法监督机制对证券监管自由裁量权的制约。Because of the deficiency of securities laws and technical and efficiency requirements of securities regulatory,the existence of securities regulatory discretion is necessary.Due to the exercise of discretion and regulator＇s personal judgement in the process of enforcement,securities regulatory discretion may be misused such as delay to perform the duties,regulatory measures inconsistent with securities regulatory actions and rent-seeking breeding.For maintaining social order of justice and fairness,and minimizing the possibility of being abused of securities regulatory discretion,the substantive and procedure law should be improved to limit the scope and amplitude of securities regulatory discretion.The administrative and judicial supervision mechanism should be strengthened to supervise the securities regulatory discretion.

关 键 词：证券监管 自由裁量权 滥用 制约机制 

分 类 号：F830.91[经济管理—金融学]