资本市场账户体系的法律属性及其改革与创新  

The Legal Attributes of the Capital Market Account System and Its Reform and Innovation

作　　者：韩立余[1] 吕昊 Han Liyu;Lv Hao(Renmin University of China,Beijing 100872,China)

机构地区：[1]中国人民大学法学院,北京100872

出　　处：《河南师范大学学报（哲学社会科学版）》2022年第1期47-55,共9页Journal of Henan Normal University(Philosophy and Social Sciences)

摘　　要：作为最基本的基础设施,资本市场账户体系关系着资本市场的安全有效运行。近年来,随着业务日趋多元化,证券公司的账户体系日趋复杂,证券账户使用便利性较差、业务兼容性不足,资金账户限制较多、影响结算效率提升,监管设施重复建设等问题日益凸显,有必要在具备条件的情况下优化账户管理功能,提升操作效率,并向逐步减少事中监管措施、更多依赖证券公司合规管理和事后处罚进行探索。As the most basic infrastructure,the capital market account system is related to the safety and effectiveness of the capital market operation.In recent years,with the increasing diversification of business,the account system of securities companies has become increasingly complex,inconvenience of using securities accounts,insufficient business compatibility,more restrictions on capital accounts,and impact on the improvement of settlement efficiency,have made problems such as repeated construction of regulatory facilities increasingly prominent.When conditions are available,it is necessary to optimize account management functions,improve operational efficiency,and gradually explore ways to reduce in-process supervision measures,and rely more on securities company compliance management and ex-post penalties.

关 键 词：资本市场 账户体系 创新发展 

分 类 号：D922.287[政治法律—经济法学]