我国证券监管体制模式的缺陷及其完善.pdfVIP

中 文 摘 要 证券监管是金融监管的重要组成部分，随着中国证券市场与国际市场的联系越来 越紧密,证券市场的国际化,要求市场监管模式也要与之相适应,趋向国际化。本 文试通过美国、英国和德国的监管模式的综合评述和比较，将中国证券监管模式 的改革纳入全球证券市场这个整体中进行分析，以客观地发现当前我国证券市场 监管的差距和不足，提出改革的对策和思路；并借鉴有益经验，加强证券监管， 正确选择制度设计的价值取向；创造良好的制度环境；完善法制建设和优化监管 体制设计。 关键词：监管模式，集中监管模式，自律监管模式，中间混合监管模式 Ⅰ ABSTRAST Security supervision is the important component of financial supervision, as connection between Chinas securities market and international market being closer and closer, the internationalization of the security market, require the market security supervision pattern should be suitable with it and tend to the internationalization. This text tries through the comprehensive commentary and contrast of the supervision pattern of U.S.A., Britain and Germany, as the reform of Chinas security supervision pattern bring into the globalization of the security market and being analyze, by finding disparity and deficiency of present market supervision of securities of our country objectively, proposing the countermeasure and thinking of the reform; Using beneficial experience for reference, strengthening the security supervision and the correct value orientation of choosing system design; Creating the good system environment; Improving the legal construction and optimizing the regulatory system. Key Words: pattern on security control; pattern on centralism control; pattern on self control; pattern on inter mediate control Ⅱ 目 录 中文摘要 1 ABSTRAST Ⅱ 目录 Ⅲ 1 导论 1 2 证券监管模式概述 3 2.1 证券监管模式的界定 3