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世界各国(地区)的证券监管体制有趋同的发展态势,即既重视中央证券监管机构的集中统一监管,又重视自律组织的自律监管,同时,还要发挥其他有监管能力的证券监管主体的积极作用。这种平衡政府监管和市场机制的监管体制应该受到重视。针对中国证监会过度监管和监管失灵的问题,有必要强化自律组织的自律监管和地方政府的辅助监管能力,在我国证券市场建设一种新型的综合证券监管体制。
The securities regulatory regimes in all countries (regions) in the world have converged development trends. They both emphasize the centralized and unified supervision of the securities regulatory authorities of the central government and attach importance to the self-regulation of self-regulatory organizations. At the same time, they must also give full play to the active supervision of other securities regulatory bodies with regulatory capabilities effect. This regulatory system that balances government regulation and market mechanism deserves our attention. In view of the oversupply and supervision failure of China Securities Regulatory Commission, it is necessary to strengthen the self-regulation of self-regulatory organizations and the auxiliary supervision ability of local governments so as to construct a new type of comprehensive securities regulatory system in China’s securities market.