论文部分内容阅读
我国证券市场不但存在着其他市场经济国家也普遍存在的一般风险 ,还面临着转轨经济国家特有的证券市场失败的风险。而且 ,由于当前混业渗透趋势日渐明显 ,使我国证券市场风险生成机制和传递机制出现了新的变化。我们应该转变证券市场发展思路 ,同时 ,要实行监管转型 ,将一次性入门资格监管转变为连续性行为规范监管 ,将分业监管转变为能设立防火墙的一定程度的联合监管 ,将正规募集与交易纳入监管。
The securities market in our country not only has the common risks that are common to other market economy countries, but also faces the failure of the securities market peculiar to the transition economies. Moreover, due to the current increasingly obvious infiltration of mixed industry, the emergence of a new change in the risk generating mechanism and transmission mechanism of China’s securities market. We should change the thinking of the development of the securities market. At the same time, we should implement the regulatory transition and turn the one-time introductory qualification regulation into a continuous code of conduct regulation. We will transform the separation regulation into a certain degree of joint supervision that can establish a firewall. Be included in regulation.