放管服视角下证券服务机构自律治理的法理思考

Legal thinking on self-discipline governance of securities service institutions from the perspective of regulation and regulation

在政府简政放权的大背景下,证券服务机构自律自治、制定行业内规章制度,充分发挥其自律监管职能,更符合证券行业良性发展的需求。在放管服政策实施的大前提下,分析证券市场乱象和外来制度移植失败的教训,论证了我国证券行业内自律治理的必要性。在此基础上对完善证券服务机构自律治理的实现路径进行积极探索,从审核机制、监管方式、保护措施等角度阐述了证券服务机构如何严格自我管理,以实现全面保护投资者、促进我国证券行业良性发展。

In the context of the government's streamlining administration and delegating power,securities service institutions should exercise self-discipline and autonomy,formulate rules and regulations within the industry,and give full play to their self-regulatory functions,thus meeting the needs of the sound development of the securities industry.On the premise of the implementation of the regulation and service policy,this paper analyzes the lessons of the chaos of the securities market and the failure of the transplantation of foreign institutions,and demonstrates the necessity of self-regulation in the securities industry of China.On this basis,the paper explores the realization path of improving the self-discipline governance of securities service institutions,and expounds how securities service institutions strictly manage themselves from the perspectives of audit mechanism,supervision mode and protection measures,so as to realize the purpose of comprehensively protecting investors and promoting the benign development of China's securities industry.