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分析现行证券法方面的制度文本,特别是证券监管机构制定的部门规章和其他规范性文件,可以发现,我国的证券市场监管规则供给机制同法理学中的法则供给哲学存在严重背离现象。在体系上,诸多规则供给表现为一种杂乱无章、逻辑缺失之状态;在内容上,相当多的制度措施是在赋予证券监管规则不应有的功能,而证券监管规则应有的功能却缺乏充分合理的制度支持。由“证监会规范性文件为主、法律规则为辅”组合而成的一个庞大规则群体现了我国证监会监管规则供给机制之种种弊病。改善证监会监管规则供给机制,需要规则供给理念上的调整,严格规范性文件的立法程序,以及加强司法监督。
Analyzing the system texts of the current securities laws, especially the departmental rules and other normative documents formulated by the securities regulatory authorities, we can find that the supply mechanism of China’s securities market regulatory rules has a serious departure from the philosophy of supply of law in jurisprudence. In the system, the supply of many rules appears as a disorderly and logically missing state. In terms of content, a considerable number of institutional measures are giving functions that securities regulatory rules should not have, while the functions of securities regulatory rules are not sufficient Reasonable institutional support. By the “CSRC normative documents, supplemented by legal rules ” a large group of rules formed by the combination of the regulatory system of China Securities Regulatory Commission supply mechanism of various shortcomings. To improve the supply mechanism of the regulatory rules of the CSRC, it is necessary to make adjustments to the concept of rules supply, to strictly regulate the legislative procedures for sex documents and to strengthen judicial supervision.