Research On Industry Discipline Of Trade Association

With the rapid development of the securities and futures markets and an expansion of the scale,it is particularly important to improve the regulation ability of the market,however,the current government regulatory mode has revealed.At present must study the effective path to promote construction of association industry self-discipline,but the current association self-discipline management function is weak,did not form an effective constraint on the enterprise,based on this problem,based on securities and futures industry association of guangdong province as an example,according to the self-discipline management theory,through to the securities and futures industry association,the securities and futures and securities regulatory bureau,and guangdong relevant personnel of organizations such as interviews,combining with the analysis of typical cases,analyze the securities and futures industry association in the self-discipline management of the existing problems and reasons,and gives corresponding countermeasures.This is a study in this paper,the following questions exist in Guangdong Securities and Futures Association self-regulation management:First,the associationis weak selfregulationitself,emphasis on service and transmission functions.Second,Self-discipline rules are difficult to implement,Members who fail to violate the charter of the association can not effectively enforce punitive measures.Third,illegal behaviorofthememberskeep appearing,and Showing an upward trend,the industry self-regulationabsence.And the three problems have obvious level,lead to the lack of self-discipline management.Further,this paper analyzes the problems in the self-discipline management of guangdong securities futures association.First,the lack of independence of the Association,it have affiliated relationswiththe Securities and Futures Commission,which led to the lack of penalties right industry standards development rights of association.;Third,Dispute resolution is too simple,the dispute mechanism is not yet perfect;Fourth,the lack of human resources and human capital,resulting in the internal management system is imperfect,and thus affect the realization of association functions.Based on the above analysis,This paper puts forward some suggestions to improve the self-discipline management of Guangdong Securities and Futures Association.First,legislating to protect the independent status and organizational functions of Securities and Futures industry;Second,Optimize the allocation of supervisory authority between the association and the executive;Third,Improving the association punishment authority and force;Fourth,Improve the dispute mediation mechanism;Fifth,regulate the internal organizational structure,Clear division of powers and responsibilities,andimprove the human capital and resources stock.