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自全球金融危机以来,中美两国几乎同时对其金融证券执法制度进行了改革。本文通过中美两国证券执法改革的比较研究,分析我国的证券监管及其执法存在一些盲区和弱点,从证券监管的理论与实践规律入手,通过对我国证券监管执法经验与教训的总结,借鉴和吸取国外先进的证券监管执法成功经验与失败教训,试图对证券监管执法机制全面思考,进行理论上的研究和创新。
Since the global financial crisis, China and the United States have carried out reforms on the law enforcement system of their financial securities almost simultaneously. Based on the comparative study of securities law enforcement reform in China and the United States, this paper analyzes some blind spots and weaknesses in China’s securities regulatory and law enforcement. Starting with the theory and practice of securities regulation, this paper summarizes the experience and lessons of China’s securities regulatory law enforcement and draw lessons from And draw lessons from the successful experiences and failures of the advanced securities supervision and law enforcement in foreign countries, and try to make a comprehensive consideration of the securities regulatory law enforcement mechanism and carry out theoretical research and innovation.