摘要
融资融券具有较大的风险,因此必须对其进行监管。而监管原则作为统领融资融券监管的灵魂和精髓,对于融资融券交易的发展和完善具有重要的意义和作用。根据融资融券交易的特质和国外的先进经验,应确立公平原则、成本收益原则、本土化检验原则、合作原则以及有适当例外原则。
Margin Trading has a greater risk,so they must be regulated.The principle of supervision as the soul and essence of the regulation of margin trading,has important significance and role on the development and perfection of margin trading.According to the characteristics of margin trading and foreign advanced experience,we should establish the principles of fairness,cost-benefit principle,the principle of localization testing,cooperative principle and have appropriate exception principle.
出处
《特区经济》
2012年第2期130-132,共3页
Special Zone Economy
关键词
融资融券交易
证券公司
市场准入监管
Margin Trading
Securities Company
Market Access Supervision
