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A Comparision on the Measure between Us-sino Securities Auditing

Author: ZhangHaiTao
Tutor: YuXuGang
School: Huazhong University of Science and Technology
Course: Legal
Keywords: Securities Auditing US-Sino Comparision Suggestion
CLC: F832.51
Type: Master's thesis
Year: 2010
Downloads: 86
Quote: 0
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Abstract


The United States has the most developed securities markets,a perfect system about securities supervision, as well as an efficient measure for securities auditing. On condition that you want to find a comparable reference in order to make a research about securities auditing in China,American will be a best one in no doubt. This purpose of this topic is that,to make a full use of a comparative analysis of the measure about securities auditing and learn from the United States through a comprehensive, regulatory and efficient systerm to improve the measure about securities auditing in China. In this paper, by the means of comparing the similarities and differences of the measure about securities auditing of history of the development, legal framework, organizational structure, auditing authority and punishment mechanism between in Chin and in American ,we could make a comprehensive discussion about problems and their deep-seated causes ,which locate beyond the background that securities markets shunt in China ,and what is more, in reference to the experience and lessons of the securities auditing on how to build a comprehensive and efficient mechanism about securities auditing mechanism, that make recommendations for securities audit legislation and reforms of law enforcement provide a reference in China.This paper is divided into five chapters. The first chapter outlines the general theory of the measure about security auditing and the analysis of the corresponding relationship between the securities regulatory system and the measure about securities auditing. Chapter II describes the measure about securities auditing for the generation, evolution, current situation and development trend ,besides it digs out the hidden deep-seated reasons behind the historical and cultural background, political and economic systems, markets and the rule of law, for the point about legal migration and the reference of system . In Chapter III ,by the means of a detailed comparison of the main inspection, pattern, procedure, based on competence, the effect of the similarities and differences between China and USA,we make a preliminary analysis of the problems of the securities auditing mechanism in China, which focuses on an introduction about the informal investigative procedure of securities auditing ,the chief judging system, reconciliation system and the legal status of the SEC and the authority of law enforcement in USA, for our future, to provide the suggestion about the reform of the measure about securities auditing. In chapter IV,we analyze the reasons for inefficiency about securities auditing and the institutional issues about the existence of securities auditing mechanism in China. At last, Chapter V formulates the suggestion of the means which develop the measure about securities auditing.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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