我国证券市场监管中自律监管的地位与完善路径  

The Status and Improving Path of Self-Discipline Supervision in China Securities Market Supervision

作　　者：张安毅[1] 

机构地区：[1]河南财经政法大学民商经济法学院,河南郑州450002

出　　处：《南京工程学院学报（社会科学版）》2013年第3期48-51,共4页Journal of Nanjing Institute of Technology：Social Science Edition

基　　金：河南省政府2012年度决策研究招标课题(B332)

摘　　要：中国不能过度依赖证监会对全国证券市场进行集中统一的监管,证监会信息和精力有限,难以胜任市场监管的艰巨任务。证券市场监管中的自律组织和自律规则相对灵活、有弹性,较少受到国家行政的干扰,更能适应证券市场高风险、复杂多变的特点。证券市场自律组织能针对不法行为迅速采取措施,应处于市场监管第一线。为扭转我国证券市场自律监管体制形同虚设的局面,应将我国证券市场自律监管组织建设为独立于政府的组织,赋予其实质监管职权,在监管体制中定位于优先监管的地位。China cannot excessively rely on China Securities Regulatory Commission for supervising and managing China nation- al securities market due to the limitation of organization＇ s information and time. In other words, it may fail this job. The self -regulation organizations and regulations in securities market supervision and management are relatively flexible and elastic, less likely to be affected by national administrative interference. Therefore, it can cater for the risky and complex securities market. Self-discipline organizations should take the lead in supervising and managing this market because they are capable of taking immediate measures against illegal activities. Facing the situation that China securities market self-discipline supervision and management system fulfills no function, such organizations should be independent of the government with real power of supervision and administration, and be bestowed with preferentially regulatory status in the supervision system.

关 键 词：证券市场 自律监管 完善路径 

分 类 号：DF438.7[政治法律—经济法学]