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美国对信用评级机构的监管:争论与启示 被引量:29

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摘要 信用评级机构在金融活动中发挥着日益重要的作用,本文分析了美国信用评级监管的NRSRO制度及其引发的广泛的争论,认为根据美国等发达国家的经验和教训,要整顿我国目前信用评级的市场秩序,就需要统一监管机构和监管标准,建立完善的评级认可制度,并运用法律的手段实施对信用评级机构的监管。
作者 柳永明
出处 《上海金融》 CSSCI 北大核心 2007年第12期57-61,共5页 Shanghai Finance
基金 上海财经大学现代金融研究中心资助项目<社会信用体系创新与发展研究>的部分成果
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  • 1Basel Committee on Banking Supervision (2000), "Credit Ratings and Complementary Sources of Credit Quality Information," Working Paper, August 2000.
  • 2Partnoy (1999), The Siskel and Ebert of Financial Markets?: Two Thumbs Down for the Credit Rating Agencies, 77 Wash. U. L.Q. 619.
  • 3SEC(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).
  • 4SEC(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.
  • 5U. 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)
  • 6U.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).

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