我国证券系统重要性机构评估探讨  

The Discussion on Assessment on Systemically Important Financial Institutions of China's Securities Sector

作　　者：闻岳春[1] 夏婷[1] 

机构地区：[1]同济大学经济与管理学院,上海201804

出　　处：《西部金融》2016年第6期9-12,31,共5页West China Finance

基　　金：国家自然基金项目"中国资本市场系统稳定性评估与监测研究"(项目批准号:71273190)部分研究成果

摘　　要：金融机构监管的首要任务之一是识别出系统重要性金融机构。为了丰富证券机构的研究,本文探讨了运用指标法构建我国证券系统重要性机构的评估体系。首先,根据我国证券业的发展规划探讨了证券系统重要性机构的定义和特征;其次,分析了国际金融监管组织对非银行、非保险机构系统重要性的评估框架及流程,并比较了市场法和指标法的适用性;最后,结合我国证券业的实际情况和国际评估指引,确定了我国证券系统重要性机构的评估体系,并在此基础上提出一些建议。Ensuring that the financial consumers5 legitimate rights and interests are not violated is an important element of thestable development of the financial market, and the premise to solve the problem is to clarify the connotation and denotation offinancial consumers. Although the concept of financial consumers is closely related to consumers, given that there exist manydifferences between financial transactions and traditional transactions, therefore, it should not be limited to the scope of the naturalperson. In addition, the financial consumer protection and investor protection cannot be confused. On the basis of the traditionaltheory, comprehensive considerations should be given to the characteristics of the financial market and its development overseas,and more specific criteria should be taken to distinguish the main body and natural person from aspects such as the strength of themain body and transaction objects and so on.

关 键 词：证券公司 系统重要性机构 指标法 评估体系 

分 类 号：F830.92[经济管理—金融学]