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香港证监会执法机制评介 被引量:9

The Securities Enforcement Mechanism in Hong Kong
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摘要 20世纪70年代开始,香港证券监管体制从纯粹的自律监管向法定监管转变,并以2003年《证券及期货条例》为标志,完成了对证券监管相关法律制度的整合。作为证券监管的核心环节,香港证券行政执法制度也逐渐走向成熟。香港证监会执法流程包括立案、调查、处分、检控等相关制度,以市场失当行为审裁处为其特色性安排。 The securities regulatory system tion to mandatory regulation from the 1970' s. The of Hong Kong began to transform from pure self - regula-enactment of the Securities and Futures Ordinance in 2003 marked the completion of the integration of relevant precedent regulations and rules. As the core element of securities regulation, securities enforcement in Hong Kong has also gradually matured. This paper provides a relatively comprehensive introduction to the rules of filing, investigation, discipline and prosecution in the enforcement process, with a special discussion of the Market Misconduct Tribunal as a feature therein, and based on such analysis, draws some brief conclusions on the overall characteristics of Hong Kong' s securities enforcement system.
作者 廖凡
出处 《环球法律评论》 北大核心 2007年第3期97-105,共9页 Global Law Review
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参考文献1

  • 1Marc I Steinberg,Ralph C.Ferrara.Securities Practice:Federal and State Enforcement[]..1997

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