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A Study upon the Cross-border Securities Regulatory & Cooperation Mechanism under the Circumstances of Globalization of Securities Markets

Author: WangXiaoFang
Tutor: CaiQingHui
School: Xiamen University
Course: International Law
Keywords: Securities international Securities and cross-border supervision Regulatory cooperation mechanism
CLC: F832.51
Type: Master's thesis
Year: 2008
Downloads: 203
Quote: 3
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Abstract


Global financial integration has brought about the globalization of securities markets. Countries all over the world are trying to create a three-dimensional, full range of regulatory cooperation system, inter-district and international regulatory cooperation mechanisms also came into being and developed by leaps and bounds. China's securities market development as an emerging and transitional markets are gradually integrated into the international financial and capital markets, is also faced with the historical task of supervision following the opening of cross-border securities. In this paper, based on the overview of the globalization of securities markets and cross-border supervision of the world's major stock markets outside the cooperation mechanism between the regional the securities regulatory mechanisms for cooperation and the global securities regulatory cooperation mechanism do carding examine their relatively sound success experiences. The combination of regulatory status and the need to construct the recommendations of our three-dimensional regulatory cooperation mechanisms on the basis of summing up the three levels of experience and institutional. In addition to the introduction and conclusion, the text is divided into four chapters, followed Securities Overview of cross-border supervision, cross-border supervision of securities 3D cooperation mechanism, the status quo of China's securities cross-border supervision and improve the of our securities cross-border regulatory mechanisms recommended. The main content of each part as follows: The introductory section introduces the motivation and purpose of the writing of this article. The first chapters introduce the phenomenon of globalization of the securities markets start to do the analysis of the need for cross-border supervision of securities, and a brief description of the status of cross-border supervision of securities. Chapter II explained from three aspects of the securities cross-border regulatory mechanism of three-dimensional mechanism from the U.S. securities markets and the Hong Kong stock market is closely related to China's securities market regulatory regime, on the characteristics of the cross-border supervision of the two markets and do a summary and a brief analysis of achievements; by the EU as typical of the inter-district securities cross-border supervisory cooperation, on the origin, characteristics and feasibility of inter-district supervisory cooperation mechanism, and regulatory cooperation in the framework of the organization and the main Act do the analysis; around IOSCO, organizational structure, mechanism of cross-border supervision of global securities regulatory mechanism analysis. The third chapter elaborates the status quo of China's securities cross-border regulatory cooperation, based on the comparison of mature foreign markets and international regulatory organizations mature practices, pointing out our shortcomings. Chapter IV on the basis of the second chapter, the third chapter, the problems for cross-border supervision of China's securities, learn from other markets and international regulatory cooperation experience on the basis of proposed should improve domestic legislation, improve the regulatory authorities permission Greater China, international regulatory cooperation mechanisms to strengthen bilateral co-operation with the adjacent countries as well as to deepen multilateral international cooperation in six areas, and improve China's securities cross-border supervisory cooperation mechanism.

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