美国金融监管改革新动向及启示  

The New Tendency and Enlightenmen of Reform in Financial Regulation in America

作　　者：斯文[1] 

机构地区：[1]东方证券股份有限公司,上海200010

出　　处：《上海市经济管理干部学院学报》2012年第3期48-53,共6页Journal of Shanghai Economic Management College

摘　　要：《多德——弗兰克法案》的颁布拉开了美国新一轮金融监管改革的序幕,本轮美国金融监管改革的经验对我国证券业监管带来了有益的启示,包括坚持审慎监管原则、保护证券业消费者和投资者权益、加强金融创新监管力度、加强证券市场秩序的监管等。Dodd-Frank Act began the new reform in financial regulation in America. This reform covers establishing the financial stability mechanism, reorganizing the regulation functions, increasing the regulation standard, strengthening the financial consumer and investor protection, regulating the over-the-counter derivative market, adding regulation of hedge fund, and limiting the proprietary investment. This reform brings the good lessons for Chinese securities regulation. The lessons include holding on the principle of prudent regulation, protecting the interests of consumers and investors, supervising the financial innovations fully and strengthening the regulation of the order of securities market.

关 键 词：金融监管 多德-弗兰克法案 沃尔克法则 证券业监管 审慎监管 

分 类 号：F837.121[经济管理—金融学]