摘要
20世纪70年代——90年代,为了适应金融业从分业走向混业经营和金融界内幕交易和欺诈事件不断升级的需要,美国对证券市场监管制度进行了重大的战略性调整。这一调整既包括证券市场监管制度规则方面的创新,也涉及证券市场监管的组织构成和实施机制的改变。调整的最终结果,是使美国证券市场监管制度完成了从"分业"向"混业"的变迁,正式确立了混业经营制度。随之而来,美国金融监管体系也从原有的纵向监管,扩展到横向监管和功能性、综合性监管。这一战略调整以及所确立的新的金融监管体系,对当前我国的金融监管体制改革具有重要的借鉴意义。
From 1970 to 1990,in order to adapt to the financial industry's transformation from separate-industry operation to mixed-industry operation and fight escalating finance insider fraud,the United States made significant strategic adjustment of the security market supervision system.This adjustment includes both the innovation of security market supervision system rules and the change of the securities market supervision organization structure and implementation mechanisms.The result of the adjustment was enabling the United States security market supervision system to complete the transformation from "separate-industry" operation to "mixed-industry " operation,and formally establishing the mixed-industry operation system.Later,the United States financial supervision system developed from originally vertical regulation,to horizontal regulation and functional,comprehensive regulation.This strategy adjustment and the establishment of a new system of financial regulation,are very enlightening for China's current financial supervision system reform.
出处
《辽宁大学学报(哲学社会科学版)》
CSSCI
2011年第2期61-66,共6页
Journal of Liaoning University(Philosophy and Social Sciences Edition)
基金
辽宁省社会科学基金项目"美国证券市场监管制度的历史演变及其经验借鉴"(L08BSS004)
关键词
金融监管制度
混业经营
功能性监管
financial supervision system
mixed-industry operation
functional regulation