证券市场导报
證券市場導報
증권시장도보
Securities Market Herald
2010年
1期
13~17
,共null页
证券投资咨询 投资咨询业 咨询机构 证券咨询监管
證券投資咨詢 投資咨詢業 咨詢機構 證券咨詢鑑管
증권투자자순 투자자순업 자순궤구 증권자순감관
Securities investment consulting, investment advisory industry, advisory bodies, security consulting supervision
本文对广东证券投资咨询机构现状和问题进行了分析。本文认为，当前证券投资咨询业面临的行业危机，本质上是制度问题。因此，要解决证券咨询行业面临的问题，仅靠单一手段和单一措施难以奏效，必须采取综合治理的思路，推进证券投资咨询制度变革，修改和完善相关法律制度，推动咨询公司业务转型，落实证券公司咨询服务义务，建立打击非法咨询活动的长效机制，改进证券投资咨询监管方式，促进证券投资咨询业持续健康发展。
本文對廣東證券投資咨詢機構現狀和問題進行瞭分析。本文認為，噹前證券投資咨詢業麵臨的行業危機，本質上是製度問題。因此，要解決證券咨詢行業麵臨的問題，僅靠單一手段和單一措施難以奏效，必鬚採取綜閤治理的思路，推進證券投資咨詢製度變革，脩改和完善相關法律製度，推動咨詢公司業務轉型，落實證券公司咨詢服務義務，建立打擊非法咨詢活動的長效機製，改進證券投資咨詢鑑管方式，促進證券投資咨詢業持續健康髮展。
본문대엄동증권투자자순궤구현상화문제진행료분석。본문인위，당전증권투자자순업면림적행업위궤，본질상시제도문제。인차，요해결증권자순행업면림적문제，부고단일수단화단일조시난이주효，필수채취종합치리적사로，추진증권투자자순제도변혁，수개화완선상관법률제도，추동자순공사업무전형，락실증권공사자순복무의무，건립타격비법자순활동적장효궤제，개진증권투자자순감관방식，촉진증권투자자순업지속건강발전。
In this paper, we analyzed the current status and problems of the securities investment advisory bodies in Guangdong. We believe that the crisis that the securities investment consulting industry is facing, in essence, is the system itself. Therefore, to solve the problems, a single means or a single step alone is hardly working, we must take an comprehensive way to promote the institutional changes, modify and improve the relevant legal system, encourage business transformation in consulting firms, implement the obligations of consulting services, establish a long-term mechanism to fight against illegal consulting activities, improve the methods of supervision, so that the sustainable and healthy development of the securities investment consulting industry can be achieved.
