基于监管视角的中小投资者保护问题研究  

Research on the Protection of Small and Medium Investors Based on the Regulatory Perspective

作　　者：李文华[1] 

机构地区：[1]中国证券监督管理委员会重庆监管局,重庆400010

出　　处：《南方金融》2013年第6期35-40,共6页South China Finance

摘　　要：保护投资者是证券监管的核心。我国新兴的资本市场尚未成熟发育,各种侵害投资者特别是中小投资者利益的行为还相当严重。本文对中小投资者利益侵害现象进行了分析,从监管视角对中小投资者利益侵害原因进行了探究,提出了完善顶层设计、修改相关法规、改善执法环境、加强监管执行力等保护中小投资者合法权益的建议。Investor protection is the core of the securities regulation.China＇s capital market is very immature;so,various activities against the interests of the small and medium investors are still quite serious.This paper analyzes the infringement on the interests of the small and medium investors,explores infringement cause from the regulatory perspective,proposes the suggestions about the small and medium investors＇ legitimate interests protection,such as perfecting top-level design,revising relevant laws and regulations,improving the law enforcement environment and enhancing supervision execution etc.

关 键 词：资本市场 中小投资者 利益侵害 投资者保护 

分 类 号：F832.51[经济管理—金融学]