摘要
本文比较分析了美国、英国、德国、法国、日本和我国香港地区依法授予其证券监管机构规则制定权的相关情况,认为具有法律授权的明确性、授权后具有制约机制、证券监管机构与自律组织之间共享规则制定权三个共同特征,进而分析了我国证券监管机构的规则制定权授予存在的问题,提出进一步明确证券监管机构的法律地位、规范规则制定程序、合理划分证券监管机构和自律组织规则制定权的界限等建议,力图促进我国证券监管机构规则制定权的授予更加科学、有序、规范。
The conclusion that clear legal authorization, right control mechanism after authorization and proper allocation of rule --making authority between securities regulators and self--regulatory organizations are of the same characteristics of United States, UK, Germany, France, Japan and Hong Kong after a comparative analysis of their securities regula- tors＇ rulemaking and the analysis on the problems of authorization of rulemaking to China＇s securities regulatory au- thorities bring up the advice that further clarification of the legal status of the securities regulatory authorities, stand- ardized rulemaking procedures and rational division of rule--making powers between the securities regulator and self-- regulatory organizations should be of necessity to promote the rulemaking of the securities regulatory authorities.
出处
《中国行政管理》
CSSCI
北大核心
2014年第3期79-83,共5页
Chinese Public Administration
关键词
证券监管
监管机构
规则制定权
securities regulation, regulatory authorities, power of rulemaking
