试论证券监管机构监管职能的市场化取向

随着我国证券市场市场化趋势的进一步加强,现行行政主导监管的积极作用正在减弱而负面影响正在扩大,这已成为学界的共识。我国的证券监管应如何适应新的趋势,以市场化的方式来解决行政行为过度强化带来一系列的问题和弊端,已经成为十分重要的课题。本文试图从法律的角度,对政府监管机构监管职能体制的现状和存在问题的分析,提出对证券监管机构监管职能的市场化取向的若干建议,以期对完善我国的证券监管有所裨益。

On stock supervision structure's supervising function's market orientation

During the process of strengthening marketization of the securities industry,it is a consensus-build that the positive role of executive-led regulation is weakened,otherwise negative impact is reinforced.Therefore,the following issues are put forward: how the securities regulators adapt their measures to the developing environment and how to solve the problems bring about by the executive-led regulation.In order to improve the securities regulation structure in China,this paper examines the situations and problems exiting in the regulation system of securities regulators,then proposes recommendations on the marketization of the regulatory function of securities regulators.