Research On Securities Company Supervision

With the development of securities market, it grow as an important part of socialist market-economic. We have developed a lot in the 16 years, and contributed a lot to the country economic. However, the contrary of illegality and supervision exist in the same time. Confronting with the entrance of WTO and foreign securities company coming-in, the foreign securities perfectly through more than 100 years' development. However, we just have been instituting less than 20 years. We still lag much, comparing with the rape market-country, for example, securities commodity is single, the level of business division is low and the securities abilities of assembling capital are low, and so on. How to meet the challenge and improve the ability, we have improved the securities company supervision.In this thesis, I described the condition of securities company, and analyze the reason of the problem of the securities company supervision., and address the strategy.The thesis include five parts. In the first part, I explain the theories of securities company supervision such as supervision theory, public interest theory, economic supervision theory and so on. In the second, I describe the situation of the securities. Securities companies and business supervision is on the charge of Chinese Securities Supervision Commission, and reform the local securities supervision system, and exert entire supervision system, which evolves securities exchange center and securities association. The third part, I elaborate the problem of securities company supervision from three aspects such as low efficiency increase the cost of abiding the law, drastic competition without order and high rate of securities crime. Forth, I analyze the reason for the problem. Securities law is uperfect, transformation of government function is not sane and fraction of securities company is not sturdy, inner controlling system is not sound , securities company culture has not established, the ability of the stuff is low. Last, I present the basic principle of securities company supervision. Innovate the supervision theory, and perfect the "supervision law", and perfect the securities company fraction, reinforce self-governing.There are some originalities in the thesis. First, present the basic principle of the securities company supervision, such as protection principle, enduring principle, cost-profit principle, limpid principle. Second, originate the theory of sureties company, treat well the relationship standard and development.