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证券公司和证券服务机构的创新与发展,需要法律作出回应。在中国资本市场整体制度快速演进的背景下,法律制度既要推进证券机构发展,又要强化对证券机构风险防范,维护经济安全。本报告对现行法律规范中证券公司与证券服务机构的监管措施与监管制度,证券公司基本行为规则,规则体系和设立制度进行了全面梳理,并针对存在的问题提出了可行的解决路径。
The innovation and development of securities companies and securities service agencies require the law to respond. Against the background of the rapid evolution of the overall capital market system in China, the legal system should not only promote the development of securities institutions, but also strengthen the prevention of risks in securities institutions and the maintenance of economic security. This report comprehensively supervises the regulatory measures and regulatory systems of securities companies and securities service agencies, the basic rules of conduct, regulatory systems and establishment systems of securities companies and securities service institutions in the current laws and regulations, and proposes feasible solutions to the existing problems.