沪港通交易机制下资本市场监管问题研究——以唐某博及其团伙跨境操纵市场案为例  

Research on the Supervision Problems of Capital Market under the Trading Mechanism of Shanghai-Hong Kong Stock Connect——Take the Cross-border Market Manipulation by Tang Moubo and His Gang as an Example

作　　者：饶曦[1] 黄荔佳 RAO Xi;HUANG Lijia(School of Finance,Jiangxi Normal University,Nanchang,Jiangxi 330022,China)

机构地区：[1]江西师范大学财政金融学院,江西南昌330022

出　　处：《金融教育研究》2018年第4期46-52,共7页Research of Finance and Education

摘　　要：沪港通的运行是我国在促进资本流动和扩大投资渠道方面的一大进步,但在飞速进步的同时,监管的弊端也逐步暴露出来。通过分析唐某博及其团伙利用沪港通操纵市场一案,探讨了沪港通交易机制下内地和香港合作监管中存在的监管不严、执法漏洞等问题。对如何完善资本市场,尤其是对跨境资本交易的监管,从完善监管协调和共享机制、提高监管部门威慑力、健全资本市场法律法规、加强资本市场自身环境建设等方面提出相关建议。The operation of the Shanghai-Hong Kong stock connect is a great progress in promoting capital flows and expanding investment channels.However,with the rapid progress,the shortcomings of supervision are gradually exposed.Through analysis the case that Tang Moubo and his gang use the Shanghai-Hong Kong stock connect to manipulate the market,this paper discussed the problems such as lax supervision and loopholes in law enforcement in the supervision of the cooperation between the mainland and Hong Kong under the Shanghai-Hong Kong stock connect trading mechanism.The paper puts forward some suggestions on how to improve capital market,especially cross-border capital transaction supervision,such as improving the mechanism for regulatory coordination and sharing,improving the deterrence of regulatory authorities,improving laws and regulations in capital market,and strengthening the construction of capital market’s own environment.

关 键 词：沪港通 跨境资本 资本市场监管 

分 类 号：F830.9[经济管理—金融学]