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《金融教育研究》[ISSN:1006-6977/CN:61-1281/TN]

卷:

期数:

2017年01期

页码:

18-22

栏目:

出版日期:

2017-01-01

文章信息/Info

Title:

International Experience and Enlightenment of Investment Banking Supervision

作者:

李 佳;  周荣荣

三江学院 a.商学院; b.经济研究所,江苏 南京 210012

Author(s):

LI Jia;  ZHOU Rongrong

a.Business School; b.Economic Research Institute,Sanjiang University,Nanjing,Jiangsu 210012,China

关键词:

投资银行;  监管体系;  金融风险;  资本市场

Keywords:

investment bank;  supervision system;  financial risk;  capital market

分类号:

F830.33

文献标志码:

A

摘要:

我国投资银行业起步较晚,监管体制和模式存在一定的问题,在市场规范程度、金融机构抗风险能力和监管部门的监管水平等方面与发达国家相比,存在较大的差距。因此,有必要加强对我国证券市场及其主体投资银行相关业务监管。借鉴国外成熟市场投资银行监管体制,我国可实行综合型监管体制改革,注重政府、行业自律监管相结合,建立投资银行保险制度,加强投资银行内控建设,促进我国资本市场正常健康运转。

Abstract:

The development of investment banking in China is late; some problems exist in the supervision system and the mode.Compared with developed countries,there is a big gap in the level of market regulation,the ability of anti-risk of financial institutions and the supervision level of the supervision department.Therefore it is necessary to strengthen the supervision of the securities market and the related business of its main investment banking.By learning from the investment banking supervision system of foreign mature market,China can implement comprehensive regulatory system reform,pay attention to the government and industry self-discipline supervision,establish the insurance system of investment banks,strengthen the internal control construction of investment banks,and promote the healthy operation of the capital market in our country.

备注/Memo

备注/Memo:

收稿日期:2016-11-25基金项目:江苏省社科基金项目“新常态下江苏省经济增长动力换研究”(15EYB010)作者简介:李 佳(1982-),女,江苏南京人,讲师,硕士,主要研究方向为宏观经济; 周荣荣(1959-),江西鄱阳人,博士后,研究员,主要研究方向为宏观经济。

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更新日期/Last Update: 1900-01-01