证券投资咨询行业市场功能之立法思考和监管建议

Legislation and Regulatory Proposals on Market Functions of Security Investment Consulting Industry

本文分析了证券投资咨询行业市场功能,发展历程和现状。在研究《证券法》及相关法规和规范性文件的基础上,本着放松管制、加强监管、鼓励创新、促进发展的理念,提出了相关立法思考和监管建议。为保障证券投资咨询行业生存之本和基本权益,维护证券投资咨询行业正常的执业环境,应解决现有法规制度缺陷问题,为证券投资咨询行业的发展创造良好的法制环境。唯有如此,方可推动证券投资咨询行业发展和壮大,切实保护投资者权益,维护证券业和社会发展的稳定。

The authors analyze the market function,history and present situation of the industry of security investment consultation.Based on the PRC Security Law and relevant regulations,they give suggestions on legislation and supervision,from the view of deregulating,strengthening supervision,encouraging innovation and promoting development.To safeguard the rights and the normal practice environment of the industry of security investment consultation,we should solve defects in the existing regulatory system,and create a favorable legal environment for the industry of security investment consultation.Only this way can we promote the development of securities investment consulting industry,effectively protect the interests of investors,and maintain the securities industry and society developing steadily.