南华大学学报：社会科学版
南華大學學報：社會科學版
남화대학학보：사회과학판
Journal of Nanhua University（Social Science Edition)
2012年
2期
46~50
,共null页
监管理论 监管失灵 审慎监管 证券监管
鑑管理論 鑑管失靈 審慎鑑管 證券鑑管
감관이론 감관실령 심신감관 증권감관
regulation theory; regulatory failure; prudential supervision; securities supervision
监管理论对证券监管体制完善有着重要指导作用,而一个国家证券监管体制是否完善,又会影响证券市场健康有序发展。文章在考察监管理论的变迁中,发现证券监管及其理论受约束于主流经济思想,危机是监管理论发展的重要推动力,理论受约束于其前提条件,具有自身局限性,结果可能导致市场失灵或监管失灵,从而影响证券市场的有效性。通过对国内外监管理论优缺点的分析,借此选择完善我国证券监管制度路径。
鑑管理論對證券鑑管體製完善有著重要指導作用,而一箇國傢證券鑑管體製是否完善,又會影響證券市場健康有序髮展。文章在攷察鑑管理論的變遷中,髮現證券鑑管及其理論受約束于主流經濟思想,危機是鑑管理論髮展的重要推動力,理論受約束于其前提條件,具有自身跼限性,結果可能導緻市場失靈或鑑管失靈,從而影響證券市場的有效性。通過對國內外鑑管理論優缺點的分析,藉此選擇完善我國證券鑑管製度路徑。
감관이론대증권감관체제완선유착중요지도작용,이일개국가증권감관체제시부완선,우회영향증권시장건강유서발전。문장재고찰감관이론적변천중,발현증권감관급기이론수약속우주류경제사상,위궤시감관이론발전적중요추동력,이론수약속우기전제조건,구유자신국한성,결과가능도치시장실령혹감관실령,종이영향증권시장적유효성。통과대국내외감관이론우결점적분석,차차선택완선아국증권감관제도로경。
Regulation theory has an important role in guiding the improvement of securities regulation system,and a national securities regulation system whether is perfect or not,will affect the healthy and orderly development of securities markets.This paper,by examining the changes in regulatory theory,discovers the securities regulation and its theory are bound by the economic mainstream thought.The crisis is an important impetus to the development of regulation theory,and the theory is restricted by its precondition which has its own limitations.This may lead to market failure or regulation failure,which would affect the validity of the securities market.By analysing the advantages and disadvantages of domestic and international regulation theory,this paper hope to improve China＇s securities regulatory system.
