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资本市场的自律监管在金融监管制度体系中具有举足轻重的地位和作用。本文在比较研究英国资本市场自律监管体制与运作机制一般做法和经验的基础上,根据资本市场监管的一般理论,结合对我国资本市场自律监管现状的实证研究,从资本市场自律监管的不同主体层次方面,探讨了完善我国资本市场自律监管的对策与政策建议。
Self-regulation of the capital market plays a decisive role in the financial regulatory system. Based on the general theory of capital market regulation and the empirical research on the status quo of self-regulation in capital market in our country, this dissertation, based on a comparative study of common practices and experiences in the self-regulatory system and operation mechanism of capital markets in the United Kingdom, In the aspect, the countermeasures and policy suggestions of perfecting the self-regulation of capital market in our country are discussed.