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本轮金融危机有市场机制的失灵与监管机制的失效两大方面的成因。危机后,各国际监管组织、国家及地区的立法及监管机构都进行了深刻的反思和改革。近年来,我国资本市场发展较快,监管执法水平有所提高,但仍存在监管模式单一僵化、透明度市场约束不足、执法方式局限、执法联动不足、跨境执法经验欠缺等问题,对此应充分吸取国际金融危机的教训,学习各国改革经验,为我国证券期货监管执法有重点、有层次、有步骤地进行改革提供必要的借鉴。
The current round of financial crisis has two major causes of the failure of the market mechanism and the failure of the regulatory mechanism. After the crisis, various regulatory bodies in the international regulatory organizations, national and regional legislations and regulatory agencies conducted profound introspection and reform. In recent years, the capital market of our country has been developed rapidly and the level of supervision and law enforcement has been raised. However, there are still some problems such as the rigid and rigid regulatory model, the lack of market restriction in transparency, the limited enforcement of law enforcement, lack of coordination in law enforcement and lack of experience in cross-border law enforcement. Draw lessons from the international financial crisis and learn from the experience of various countries in reforming, so as to provide the necessary reference for our country’s securities and futures supervision and law enforcement to lay stress on the reform in a step-by-step manner.