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我国信用评级机构规制与监管问题研究 被引量:11

A Study of Credit Rating Agency Regulation and Supervision in China
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摘要 从信用评级机构的自然垄断性、外部性、经营模式和准监管者地位四个方面入手,运用规制经济学的理论方法,分析我国信用评级机构的规制与监管的必要性。依据理论分析结果,结合我国信用评级机构的发展,提出相关的规制与监管的政策建议。 In the light of regulation economics theory the paper examines credit rating agencies in terms of natural monopoly, externality, business model and the status of potential regulator. Based on an analysis of the Chinese regulation and its supervision necessity a relevant policy proposal .is then brought forward in consideration of the development of credit rating agencies in China.
作者 郑又源
出处 《兰州大学学报(社会科学版)》 CSSCI 北大核心 2010年第6期125-130,共6页 Journal of Lanzhou University(Social Sciences)
关键词 信用评级 信用评级机构 规制 监管 credit rating rating agency regulation supervision
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  • 1冯彦明.信用评级业存在的问题及发展方向[J].中国金融,2006(16):27-27. 被引量:7
  • 2Basel Committee on Banking Supervision (2000), "Credit Ratings and Complementary Sources of Credit Quality Information," Working Paper, August 2000.
  • 3Partnoy (1999), The Siskel and Ebert of Financial Markets?: Two Thumbs Down for the Credit Rating Agencies, 77 Wash. U. L.Q. 619.
  • 4SEC(1998), Comments of the United States Department of Justice in the Matter of: File S7-33-97 Proposed Amendments to Rule 15c3-1 under the Securities Exchange Act of 1934 (March 6, 1998).
  • 5SEC(2002), Testimony of Frank A. Fernandez, Senior Vice President, Chief Economist and Director of Research, The Securities Industry Association, SEC Hearing Transcript, November 15, 2002.
  • 6U. S Congress (2002a), “Rating the Raters: Enron and the Credit Rating Agencies, ” Hearings Before the Senate Committee on Governmental Affairs, 107th Cong. 471 (March 20, 2002)
  • 7U.S Congress (2002b), “Financial Oversight of Enron: The SEC and Private-Sector Watchdogs,” Report of the Staff of the Senate Committee on Governmental Affairs" S. Prt.107-75 (October 7, 2002).
  • 8The Unintended Consequence of Rating Triggers.Moody's Investors Service,December 2001.
  • 92003年美国国会听证会相关资料.
  • 10参见Adoption of Amendments to Rule 15c3-1 and Adoption of Alternative Net Capital Requirement for Certain Brokers and Dealers,Release No.34-11497(June 26,1975)

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