CAJ | 학술논문

目前，我国的证券监管采取的是主体监管，即“机构监管”，在这一主体监管模式下，产生了一些固有问题，一是对一些金融产品监管的不均衡和证券监管措施的设置不合理，二是在一定程度上，证券监管措施的设定与相关法律没有做到很好地衔接。合理设置证券监管措施的途径有：一是对审慎监管措施予以单独分类，二是合理规范非行政处罚性监管措施。
목전，아국적증권감관채취적시주체감관，즉“궤구감관”，재저일주체감관모식하，산생료일사고유문제，일시대일사금융산품감관적불균형화증권감관조시적설치불합리，이시재일정정도상，증권감관조시적설정여상관법률몰유주도흔호지함접。합리설치증권감관조시적도경유：일시대심신감관조시여이단독분류，이시합리규범비행정처벌성감관조시。
At present,we have adopted subject regulatory ,“agency regulatory”,in securities regulatory .In this sub-ject supervision mode ,there are some inherent problems:on one hand ,the regulation on some financial products is not balanced and the securities regulation measures are set unreasonably;on the other hand ,to a certain extent ,the setting of the securities regulation measures does not match the related laws well .We can set reasonable securities regulatory measures through classifying the prudential regulatory measures separately and reasonably regulating the non-executive punitive regulatory measures .