中国证监会的制度环境及法律影响 组织社会学的分析  

The Organizational Sociology Analysis of CSRCs Institutional Environment and its Legal Influence

作　　者：缪若冰 Miao Ruobing

机构地区：[1]重庆大学法学院

出　　处：《中外法学》2020年第1期206-223,共18页Peking University Law Journal

基　　金：2018年度重庆市社会科学规划培育项目“金融市场组织法、合同法与监管法的整合研究”（立项编号：2018PY98）的阶段性成果

摘　　要：中国证监会建立时间较晚,但直接接触的是市场经济的代表--证券市场,这一结构性特点决定其制度化过程具有非常特殊的理论与实践意义。一方面,证监会需要适应行政体制下的制度环境,并满足这一制度环境下的合法性要求;另一方面,市场所形成的制度环境,又对证监会施加了制度趋同的压力,要求证监会向国际先进惯例学习。在证券市场发展早期,证监会选择了行政先行证监会有着立法与司法层面的法律影响力,导致证券市场形成了"行政中心主义"。随着证券市场的发展,市场制度环境越来越具有影响力,并迫使证监会面临行政-市场双重制度环境下的合法性压力。要解决证监会面临的结构性挑战,必须去行政化,而这又涉及制度环境的根本性改革。Although the CSRC was established relatively late,it has direct impact upon the representative of the market economy-the securities market,which determines that the institutional process of the CSRC has a very special theoretical and practical significance.On the one hand,the CSRC needs to adapt to the institutional environment under the administrative system to meet the legitimate requirements under such institutional environment;on the other hand,the institutional environment formed by the market exerts pressure on the CSRC to converge in the system,requiring the CSRC to learn from the advanced international practices.In the early stage of the development of the securities market,the CSRC chose administrative priority and has legal influence at the legislative and judicial levels,which formed the "administrative centralism" of the securities market.With the continuous development of the securities market,the market institutional environment began to have more influence,and forced the CSRC to face the pressure of legitimacy under the administrative-market dual system.To solve the structural challenges faced by the CSRC,we must de-bureaucratize,which involves the fundamental reform of the institutional environment.

关 键 词：证监会 制度环境 法律影响 组织社会学 新制度主义 

分 类 号：D922.287[政治法律—经济法学]