证监会法律地位的明确及监管职能优化

Defining CSRC′s Legal Status and Optimizing its Regulatory Functions

我国选择集中统一的证券监督管理模式有其历史的必然性与合理性。中国证监会法律地位不明确,因此可考虑将证监会改造为独立于国务院而对全国人大直接负责的准司法行政机关。另外,证监会肩负发展与执法双重职能存在内在冲突,应当将发展的职能逐渐让渡给市场;同时发挥市场自律组织的作用,以克服政府监管的先天不足。

The centralized regulatory model for securities supervising in China has its historical inevitability and rationality. The legal status of CSRC is not very clear. So the consideration should be taken to transform CSRC into the quasi - judicial administrative organs, which should be independent of the State Council and responsible to National People＇s Congress directly. In addition, there are inherent conflicts between CSRC＇s law enforcements and its development functions. CSRC should give the functions of development to the markets gradually and make the self- regulatory organizations play a role in the markets to overcome regulatory deficiencies.