政府對證券交易所的監(jiān)管論

內(nèi)容摘要：證券交易所具有公共性，且承擔自律監(jiān)管職能，因此，需要政府的監(jiān)管。許多國家的法律都規(guī)定了政府對交易所監(jiān)管的內(nèi)容和手段。我國政府證券監(jiān)管機構(gòu)對交易所的監(jiān)管存在許多不足，應當加以完善，尤其是減少對交易所人事和業(yè)務的不當干預。

關鍵詞：證監(jiān)會 證券交易所 監(jiān)管 自律

Abstract: Having self-regulatory function, the stock exchange performs public role, which justifies the governmental regulation on its operation. The regulation on stock exchanges by the government has been stipulated in the laws of many jurisdictions. In China, the statutory regulator has some unnecessary interference with the exchanges, so the governmental regulator should improve its regulation on it, especially diminish the interference in human resources and business of the exchanges.

Key words: Securities Exchange Commission, Stock Exchange, Regulation, Self-regulation

部分參考文獻

[16] The Securities and Futures Act (2004), Section 17.
[17] Alan R. Palmiter, Securities Regulation: Examples and Explanations (Second Edition), (New York: Aspen Law and Business, 2002), p.235.
[18] 我國臺灣《證券交易法》第93條。
[19] The Securities and Futures Act (2004), Section 20.
[20] David L. Ratner, Securities Regulation, West Group, 法律出版社，1999年版，第202頁。