| 证券公司合规管理的新趋势:基于原则的监管 |
| |
| 引用本文： | 步国旬.证券公司合规管理的新趋势:基于原则的监管[J].证券市场导报,2010(1). |
| |
| 作者姓名： | 步国旬 |
| |
| 作者单位： | 南京证券有限责任公司; |
| |
| 摘 要： | 基于原则的监管(Principles-Based Regulation,PBR)是2002年以来欧美国家证券公司合规管理的新趋势,被西方业界广泛讨论并逐步付诸实践。对习惯于以规则为导向的传统而言,基于原则的监管无疑是一种巨大的挑战和变革,其带来的激烈争议在所难免。我国证券公司的合规管理起步较晚,但起点较高,基于原则的监管已初现端倪,在外部监管方面可以适当借鉴;但对于证券公司的内部管理而言,则不宜立即推广。
|
| 关 键 词： | 合规管理 基于原则的监管 基于规则的监管 券商监管 |
New trend in Compliance management of securities companies:Principle-Based Regulation |
| |
| Bu Guoxun.New trend in Compliance management of securities companies:Principle-Based Regulation[J].Securities Market Herald,2010(1). |
| |
| Authors: | Bu Guoxun |
| |
| Abstract: | Principles-Based Regulation (PBR) has been a new trend in the compliance management of securities companies since 2002. There have been extensive discussions upon PBR, and it has gradually been put into practice in western securities industry. Compared with the traditional Rule-Based Regulation (RBR), principlesbased regulation is undoubtedly a great challenge and reform, and it inevitably brings a fierce controversy. The compliance management of securities companies in China started later, but the foundati... |
| |
| Keywords: | Compliance Management Principles-Based Regulation Rule-Based Regulation Broker Supervision |
| 本文献已被 CNKI 等数据库收录！ |
|
