政府对证券交易所的监管论.doc
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政府对证券交易所的监管论, 内容摘要：证券交易所具有公共性，且承担自律监管职能，因此，需要政府的监管。许多国家的法律都规定了政府对交易所监管的内容和手段。我国政府证券监管机构对交易所的监管存在许多不足，应当加以完善，尤其是减少对交易所人事和业务的不当干预。关键词：证监会证券交易所监管 自律abstract: having...
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政府对证券交易所的监管论
内容摘要：证券交易所具有公共性，且承担自律监管职能，因此，需要政府的监管。许多国家的法律都规定了政府对交易所监管的内容和手段。我国政府证券监管机构对交易所的监管存在许多不足，应当加以完善，尤其是减少对交易所人事和业务的不当干预。
关键词：证监会 证券交易所 监管 自律
Abstract: Having self-regulatory function, the stock exchange performs public role, which justifies the governmental regulation on its operation. The regulation on stock exchanges by the government has been stipulated in the laws of many jurisdictions. In China, the statutory regulator has some unnecessary interference with the exchanges, so the governmental regulator should improve its regulation on it, especially diminish the interference in human resources and business of the exchanges.
Key words: Securities Exchange Commission, Stock Exchange, Regulation, Self-regulation
部分参考文献
[16] The Securities and Futures Act (2004), Section 17.
[17] Alan R. Palmiter, Securities Regulation: Examples and Explanations (Second Edition), (New York: Aspen Law and Business, 2002), p.235.
[18] 我国台湾《证券交易法》第93条。
[19] The Securities and Futures Act (2004), Section 20.
[20] David L. Ratner, Securities Regulation, West Group, 法律出版社，1999年版，第202页。
内容摘要：证券交易所具有公共性，且承担自律监管职能，因此，需要政府的监管。许多国家的法律都规定了政府对交易所监管的内容和手段。我国政府证券监管机构对交易所的监管存在许多不足，应当加以完善，尤其是减少对交易所人事和业务的不当干预。
关键词：证监会 证券交易所 监管 自律
Abstract: Having self-regulatory function, the stock exchange performs public role, which justifies the governmental regulation on its operation. The regulation on stock exchanges by the government has been stipulated in the laws of many jurisdictions. In China, the statutory regulator has some unnecessary interference with the exchanges, so the governmental regulator should improve its regulation on it, especially diminish the interference in human resources and business of the exchanges.
Key words: Securities Exchange Commission, Stock Exchange, Regulation, Self-regulation
部分参考文献
[16] The Securities and Futures Act (2004), Section 17.
[17] Alan R. Palmiter, Securities Regulation: Examples and Explanations (Second Edition), (New York: Aspen Law and Business, 2002), p.235.
[18] 我国台湾《证券交易法》第93条。
[19] The Securities and Futures Act (2004), Section 20.
[20] David L. Ratner, Securities Regulation, West Group, 法律出版社，1999年版，第202页。
