资本市场监管问题研究综述  

Overview of Research on CapitalMarket Supervision

作　　者：程茜 CHENG Xi(Charles Sturt University,Wagga Wagga New South Wales 2650,Australia;Tianjin University of Commerce Cooperative School of international Education,Tianjin 300134,China)

机构地区：[1]Charles Sturt University,Wagga Wagga New South Wales 2650 [2]天津商业大学国际教育合作学院,天津300134

出　　处：《安徽理工大学学报（社会科学版）》2020年第5期46-50,共5页Journal of Anhui University of Science and Technology:Social Science

摘　　要：学者们对中国资本市场监管问题作了大量的理论研究,试图为资本市场监管提供科学的解决方案。在监管不断强化、去杠杆、引入熔断机制的背景下,对过去10年(2010年-2019年)关于中国资本市场监管的理论与实证研究文献进行了选择性评述,并就资本市场效率、资本市场监管制度、资本市场改革、资本市场与金融机构、资本市场法律责任、资本市场审计及资本市场其它影响因素等七个主题进行了讨论。最后,基于研究成果的回溯得出资本市场监管研究的结论,并指出相关成果对中国资本市场监管研究的启示。Scholars have done a lot of theoretical research on the supervision of China’s capital market and tried to provide scientific solutions for the supervision of the capital market.In the context of continuous strengthening of supervision,deleveraging,and introduction of circuit-breaking mechanisms,this paper conducts a selective review of the theoretical and empirical research literature on China’s capital market supervision over the past 10 years(2010-2019),and discusses capital market efficiency.Seven themes were discussed,including market supervision system,capital market reform,capital market and financial institutions,capital market legal liability,capital market audit and other factors affecting the capital market.Finally,based on the retrospective research results,the conclusion of the capital market supervision research is drawn,and the enlightenment of the relevant results to the research on China’s capital market supervision is pointed out.

关 键 词：资本市场效率 资本市场监管 资本市场审计 

分 类 号：F202[经济管理—国民经济]