“穿透式”监管的内涵、目的与实践被引量：19

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摘要分业监管导致监管缺位与监管重叠,"穿透式"监管成为监管部门新的监管理念。本文在梳理近年发布的"穿透式"政策法规后认为,"穿透式"监管遵循"实质重于形式"的原则,其内涵体现在资产端的"穿透"和资金端的"穿透"两个层面,目的是防范系统性风险、规避监管盲区、防止错误销售以及适应对混业经营进行监管的需求。本文总结了主流资管机构的"穿透式"监管的实践情况,并对实施"穿透式"监管提出了相关建议。

作者谭人友叶瑶于涛

机构地区中国长城资产管理股份有限公司博士后科研工作站北京大学经济学院博士后流动站

出处《国际金融》 2017年第11期72-76,共5页 International Finance

基金中国博士后科学基金第60批面上项目(2016M600830)

关键词资产管理混业经营 “穿透式”监管

分类号 F832.5 [经济管理—金融学]

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参考文献7

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