中国证券市场监管政策选择研究.doc

中国证券市场监管政策选择研究 摘要：证券市场的监管不仅在保障证券市场健康、有序地发展上具有重要作用，在适应社会主义市场经济建立和发展上也有明显的促进意义。改革开放以来，尤其是确立建设社会主义市场经济以来，随着我国市场经济的发展和法治的逐步完善，逐步完善证券市场监管、重拾投资者信心已经成为当务之急，正确地找出我国券市场陷入监管困境的原因则是完善证券市场监管的前提。本文从释义证券市场监管入手，介绍了证券监管的概念、定义与范畴，证券监管的目的、证券监管的手段以及证券监管的原则和对象；通过研究，总结出我国证券市场监管主要经历了分散监管、多头监管和集中统一监管三个阶段；有对中国证券市场监管体制的现状及未来发展方向进行了分析，并提出了具体的建议；最后，对证券市场监管的政策选择进行了初步研究。通过本文的研究，将为我国证券市场的监督管理提供一些有益的思考。 关键词：证券市场；证券监管；证监会；制度变迁；政策选择 Chinas securities market regulatory policy options study Abstract: Securities market regulation not only plays an important role in the protection of the securities market healthy and orderly development of, and adapt to the socialist market economy on the establishment and development of promotional sense. Since the reform and opening up, especially since establishing and building a socialist market economy, with the gradual improvement of Chinas market economy development and the rule of law, and gradually improve the securities market regulation and regain investor confidence has become imperative to correctly identify Chinas securities market into the regulatory dilemma reasons perfect premise of securities market regulation. Interpretation securities market regulation from the start, and describes the principles and objects of the concept, definition and scope of securities regulators, the securities regulatory purposes, the securities regulatory means, and securities regulators; through research, summed up Chinas securities market supervision experienced a decentralized regulatory bulls regulation and centralized and unified supervision of three stages; analysis of the current situation and future development of Chinas securities market regulatory system, and put forward specific proposals; Finally, a preliminary study of securities market regulation policy choices. Through this research, the supervision and management of Chinas securities market will provide some useful thinking. Key words: Stock market; securities regulators; SFC; institutional change; policy op