加拿大资本市场监管及对我国的启示
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摘要
加拿大金融业已具有两百多年历史,伴随着金融业发展其资本市场也相对发达,有着"缩小版美国"俗称的加拿大资本市场及其监管既具有西方发达国家的共性特征也有其独特的个性特征,如股票发行注册制、交易所设立市场化、赋予自律组织更多监管职责,鼓励学术团体等社会力量参与公司治理等做法取得了良好的效果。通过加拿大多伦多大学进修学习较为系统了解加拿大资本市场监管理论与实践,借鉴其经验并对完善我国资本市场监管包括股票市场分层、上市公司治理、金融机构风险管理以及投资者保护等方面提出相应的对策建议。
The Canadian financial industry has a history of more than 200 years. With the development of the financial industry, the capital market in Canadian is relatively developed. The Canadian capital market and its supervision, which is commonly known as the"reduced version of the United States"have both the common characteristics of western developed countries and unique Personality characteristics such as the stock issuance registration system, the marketization of exchange establishment, more regulatory responsibilities for self-regulatory organization, encouraging academic groups and other social forces to participate in corporate governance and other practices which has achieved good results. The author systematically understands the theory and practice of Canadian capital market supervision through the study and study at the University of Toronto of Canada and propose corresponding countermeasures about improving China's capital market supervision, stock market stratification, listed company governance, financial institution risk management and investor protection.
The Canadian financial industry has a history of more than 200 years. With the development of the financial industry, the capital market in Canadian is relatively developed. The Canadian capital market and its supervision, which is commonly known as the"reduced version of the United States"have both the common characteristics of western developed countries and unique Personality characteristics such as the stock issuance registration system, the marketization of exchange establishment, more regulatory responsibilities for self-regulatory organization, encouraging academic groups and other social forces to participate in corporate governance and other practices which has achieved good results. The author systematically understands the theory and practice of Canadian capital market supervision through the study and study at the University of Toronto of Canada and propose corresponding countermeasures about improving China's capital market supervision, stock market stratification, listed company governance, financial institution risk management and investor protection.
引文
[1]王绍锋.国际主要资本市场上市比选研究[J].求索,2013(8):34.
[2]吴晓晖,姜彦福.我国资本市场新兴治理力量监管有效性的实证研究[J].金融研究,2006(12):141.
[3]王宁,卢文涛.浅析加拿大证券监管的原则监管模式[J].法制与社会,2010(35):91.
[4]王纯.美国、加拿大对资本市场监管的比较研究[J].中国集团经济,2008(21):197.
[5]刘婕.中小企业第三方网上交易市场探讨[J].沈阳工程学院学报:社会科学版,2007(4):195.
(1)除了联邦层面有《公司法》外,13个省区也制定有《公司法》。
[2]吴晓晖,姜彦福.我国资本市场新兴治理力量监管有效性的实证研究[J].金融研究,2006(12):141.
[3]王宁,卢文涛.浅析加拿大证券监管的原则监管模式[J].法制与社会,2010(35):91.
[4]王纯.美国、加拿大对资本市场监管的比较研究[J].中国集团经济,2008(21):197.
[5]刘婕.中小企业第三方网上交易市场探讨[J].沈阳工程学院学报:社会科学版,2007(4):195.
(1)除了联邦层面有《公司法》外,13个省区也制定有《公司法》。