证券市场中介机构诚信档案建构——基于责权利三角定理的思考  

Construction of Credit Archives for Intermediary Institutions in the Securities Market:Reflections on the Triangle Theorem of Responsibility,Right and Benefit

作　　者：范鑫鑫 孙军[1] FAN Xinxin;SUN Jun(School of social development,Yangzhou University,Yangzhou 225000)

机构地区：[1]扬州大学社会发展学院,扬州225000

出　　处：《山西档案》2023年第5期43-50,共8页Shanxi Archives

摘　　要：强化行政、中介机构和市场力量共同作用的行为监管是完善现代金融监管的客观要求。当前,注册制成为现代金融监管的重要方式。在注册制改革持续发力的背景下,中介机构责任前移、地位突出,其诚信档案的完备建构已成必然趋势。本文基于责权利三角定理,根据中介机构“责权利”三位一体的结构特征与配比关系,解析中介机构诚信档案的建构逻辑,并从“责权利”三要素均衡和对等的实现条件出发,提出中介机构诚信档案的建构路向,为注册制的全面推行提供有力支撑,为现代金融监管的加强和完善奠定坚实基础。Strengthening behavioral supervision through the joint action of administrative,intermediary,and market forces is an objective requirement for improving modern financial regulation.Currently,the registration system has become an important way of modern financial regulation.Under the background of the continuous development of the deepening reform of the securities market,the responsibility of intermediary institutions has moved forward and their status is prominent,and the complete construction of their credit archives has become an inevitable trend.On the basis of clarifying the triangle theorem of responsibility,right and benefit,according to the structural characteristics and matching relationship of the trinity of"responsibility,right and benefit"of intermediary institutions,this paper analyzes the logic of the construction of the credit archives of intermediary institutions,and puts forward the construction direction from the realization conditions of the balanced equivalence of the three elements of"responsibility,right and benefit",so as to provide strong support for the comprehensive implementation of the registration system and lay a solid foundation for the strengthening and improvement of modern financial supervision.

关 键 词：中介机构 诚信档案 责权利三角定理 

分 类 号：G270[文化科学—档案学]