Dissertation
Dissertation > Political, legal > Legal > Chinese law > Financial Law > Securities and Management Act

The legal supervision of the securities market

Author ZhaoJiang
Tutor GuanXiaoFeng
School China University of Political Science
Course Legal
Keywords Legal and regulatory A number of issues Stock market Securities regulatory mode Mandatory information disclosure system Securities fraud Securities regulatory system China Securities Regulatory Commission Securities market regulation Suggestions for Improvement
CLC D922.287
Type Master's thesis
Year 2002
Downloads 202
Quotes 1
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For the supervision of the securities market, the introduction of our \In the process of securities regulation, the Commission has continued to emerge, and formulated a number of specific regulatory regime, a strong impetus to the development of information disclosure and anti-fraud system to regulate the development of the securities market. But there are also some problems, such as securities fraud cases Yinguangxia false earnings consecutive, is a powerful example. Starting from the basis of the securities regulatory sub-chapters of the theory and practice of China's securities regulators, several problems and suggestions for improvement, to be beneficial to China's securities regulators career. The first chapter, the securities markets and securities markets legal supervision. Explore the basis of the securities market regulation. This chapter introduces the concept of the Securities comparison, the United States, Japan Securities epitaxial, adjusted securities in the United States, and Japan Securities Act differences. The generation of the securities market development, classification and basic role as well as the securities market regulated by the laws of the evolution of the target. Understanding of the legal regulation of the securities market. The second chapter, the core of the securities market laws and regulatory system. Information disclosure of the securities market is the core of the securities regulatory system, throughout the whole process of the securities regulators. Like a two-edged double-edged sword, both market information symmetry, but also conducive to the anti-fraud. This chapter describes the basic concepts of information disclosure and its contents, the theoretical basis for the existence of the mandatory information disclosure system - Efficient Market Hypothesis, that China's securities market is still in a weak form efficient market, the government implemented a mandatory information disclosure system, strengthen supervision, standardize the strong guarantee of the securities market. On this basis, further elaborated several criteria for effective information disclosure: authenticity standards, standards of accuracy and integrity standards, timeliness standards accessible and easy solvability standards. Chapter III, the management system of securities regulation. According to each country's national conditions and securities market development of the different levels of the securities regulators of the world's countries (regions) mode is roughly divided into three categories: First, the state centralized and unified regulatory approach, is a self-regulatory mode, the middle mode. According to the three modes of the depth of the impact of China's securities regulatory regime, focusing comparative study of national centralized unified regulatory approach and self-regulatory mode of the pros and cons of the United States, Britain. Finally, described the China's securities market regulatory system, regulatory bodies and their responsibilities. Chapter IV, the supervision of the securities market fraud. Begins with a brief of securities fraud and classification made lt; WP = 3 gt; an overview of. Then, from three angles, more comprehensively expounded China's regulation of securities fraud. First, the regulatory issue, listed companies' information disclosure, institutional securities firm securities regulatory Third, the regulation of securities trading service agencies. These analyzes the outlines of the SFC rules against securities fraud. Demonstrated in recent years, the progress made in the construction of the legal system of China's securities regulatory. Chapter V, several of China's securities market regulation issues and suggestions for improvement. On the basis set forth in the above four chapters, this chapter from the three aspects of the securities regulatory system, the securities regulatory system, security system and legal responsibility, the SFC, the status quo of the legal status of the stock exchange, the Securities Industry Association, the SFC in the information disclosure The rule-making, regulatory transparency, on the division of responsibilities of the SFC and the self-regulatory organization, securities regulatory system, the solid backing of the securities regulators - Securities legal system responsibility problems and suggestions for improvement.

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