| 加强事中监管 完善资本市场监管体系 |
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| 引用本文： | 谢敏,周锋.加强事中监管 完善资本市场监管体系[J].河南金融管理干部学院学报,2005,23(4):51-52,77. |
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| 作者姓名： | 谢敏 周锋 |
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| 作者单位： | 1. 招商银行,郑州分行,河南,郑州,450008
2. 深圳证券交易所,博士后工作站,深圳518028 |
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| 摘 要： | 多层次资本市场的发展必然需要一个多层次的监管体系与之对应。多层次的证券监管体系应包括事前监管、事中监管和事后监管三种监管方式、从监管总成本上来考虑，监管部门应强化事中监管。因此，应采用相关措施，如加强法规建设、完善依法监管机制，推动技术创新、提高监管效率，强化中介公司地位、健全上市公司外部社会治理机制等来加强事中监管。
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| 关 键 词： | 资本市饧 事前监管 事中监管 事后监管 监管成本 |
| 文章编号： | 1008-7796（2005）04-0051-03 |
| 收稿时间： | 2005-06-08 |
| 修稿时间： | 2005年6月8日 |
Strengthen Formative Regulation over Securities, Consummate Multi-level Capital Market Regulatory System |
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| XIE Min,ZHOU Feng.Strengthen Formative Regulation over Securities, Consummate Multi-level Capital Market Regulatory System[J].Journal of Henan College of Financial Management Cadres,2005,23(4):51-52,77. |
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| Authors: | XIE Min ZHOU Feng |
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| Abstract: | The development of multi-level capital market inevitably need a corresponding multi-level regulatory system which includes three regulation ways i. e. pre-regulation, formative regulation and post-regulation. Considering formative total cost of regulation, regulatory authorities should strengthen course regulation. Therefore, relevant measures should be taken, such as enhancing legislation, deepening regulation mechanism in conformity with laws; promoting technique innovation so as to improve regulation efficiency; enhancing position of intermediary companies; perfecting external social governance mechanism of listed companies so as to strengthen formative regulation. |
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| Keywords: | capital market pre-regulation formative regulation post-regulation |
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