我国证券业自律监管制度完善研究

摘  要

自律监管是我国证券监管体制的重要组成部分，随着中国证券市场的不断发展与完善，证券市场的国际化，要求自律监管与时俱进，发挥更大的作用。本文通过对美国、英国、德国的自律监管体制模式的探讨和比较，尝试对中国证券自律监管的现状作出实证分析，剖析我国证券业自律监管的不足和差距，借鉴国外证券自律监管的先进经验，进而针对我我国的现有情况提出完善我国证券业自律监管制度的建议和措施。
本文第一部分系统地介绍了证券业自律监管的基础理论知识。第二部分则通过介绍美国、英国等成熟资证券市场较为成熟的自律监管模式和体制，为我国完善证券自律监管提供借鉴的经验。第三部分则立足于我国证券自律监管的现状和缺陷。最后一部分则基于前三部分的分析，进而从完善证券自律监管机构的职能建设方面提出了建议对策。

关键词：证券； 自律监管； 缺陷 ；完善

Abstract
Self-regulation is the important component of security supervision, as uninterrupted development and perfection of China's securities market ,the internationalization of the security market, require the market security supervision pattern should keep pace with the times and produce the best possible results. This text through the discussion and contrast of the self-regulation pattern of U.S.A.,Britain and Germany, can try to analyze the actuality of China's self-regulation, and dissect the disparity and deficiency of China's self-regulation.Using beneficial experience of foreign, propose the advice and measure to perfect the regime of our security self-regulation,directing at China's current situation.
The first part of this paper introduces the fundamental theory of security self-regulation. The second part details how we can provide the experience for perfecting our security self-regulation through introducing the better system and mode of the self-regulation in the United States, Britain, Asia and other mature capital markets. The third part analyzes the situation of the development of China's security and the current status of security self-regulation, as well the urgency and the necessity of strengthening self-regulation from some related theories.On the basis of the analysis in the first three parts, the final section discusses strategies, such as perfecting the self-regulation in each activities of our country's construction of security market, and improving the legal system in self-regulation.

Key words： Security  Self-regulation  Imperfection  Perfection

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