Study Of Regulation Of The Securities Industry In China

Every country which has securities markets exists government regulation on it for the particularities of securities and the important status of securities economy in national economy. Since the running of Shanghai Stock Exchange in December 1990, China's securities industry has become an important component of the national economy. In particular, the flourish of securities industry from 2006 makes the securities markets topic become the focus of China's economy. China's securities industry is an emerging industry with various problems. It is essential to ensure the healthy development by effective regulation.After analyzing the general content of securities industry regulation, this article investigates the detailed content of securities industry regulation and compares the different systems of it. After analyzing the status quo of China's securities industry regulation, this article points out the main problems of it and gives some advices, such as strengthen the legislation of securities industry regulation; emphasize the integration between institutional regulation and self-regulation; deregulate the regulation of market entry, business scope and trading commission, while enhance exit regulation, prudential regulation and protective regulation. Finally, this article indicates China's securities industry regulation how to adapt the challenge from financial liberalization and stock trading on net.This article is divided into six chapters:Chapter 1, Introduction. This chapter introduces background and the significance of securities industry regulation, and makes a simple summation of the research on it both at home and abroad.Chapter 2, The theories foundation of securities industry regulation. Firstly, this chapter defines regulation and analyzes the characteristics of securities. On this basis, it defines securities industry regulation and why is it necessary to have the regulation. Finally, it indicates the detailed contents of it.Chapter 3, The international comparison of securities industry regulation systems. This chapter mainly introduces the different models of securities industry regulation system, such as the United States, Britain, Japan and China. On this basis., this chapter indicates the development trend of it.Chapter 4, The status quo, problems and challenges of China's securities industry regulation. Firstly, this chapter analyzes the status quo of China's securities industry regulation from system aspect and content aspect. Secondly, introduces the challenges of it from liberalization of financial and information network.Chapter 5, Preliminary discussion of the improvement of China's securities industry regulation. This chapter discusses the problem from system, content,financial liberalization and trading on net.Chapter 6, Conclusion. Summarizes the paper and points out directions for further studies.