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目前我国禁止证券从业人员买卖股票,但是实践中从业人员违规买卖股票的事件时有出现。全面禁止证券从业人员买卖股票制度的合法性、合理性和实效性,都值得重新审视;而有条件地允许证券从业买卖股票,从立法、监管和市场角度,都能获得支持。我国有必要借鉴境外成熟资本市场“堵疏”结合的经验,修改目前绝对禁止证券从业人员买卖股票的规定,探索建立起一套事前防范、事中监控、事后惩处的规制体系,做到有堵有疏、放而不乱。
At present, China prohibits securities practitioners from buying or selling stocks, but in practice, practitioners engaged in irregular trading of stocks. The legitimacy, rationality and effectiveness of a comprehensive prohibition of stock trading in the securities practitioners are all worth reviewing. Conditional permission to trade shares in stocks is supported from a legislative, regulatory and market perspective. It is necessary for our country to learn from the experience of combining mature capital markets in overseas markets with “plugging and sparseness”, and to amend the current regulations on the prohibition of stocks traded by securities practitioners absolutely. We should explore the establishment of a system of regulations that prevent, monitor and punish afterwards There are blocked sparse, put chaos.