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刘士余:市场走得稳得益于沪深交易所担起一线监管责任

2017-08-28 07:17:06   中国经济网

为了深入贯彻全国金融工作会议重要精神,全面落实全国证券期货监管系统年中监管工作座谈会部署,深入推进依法全面从严监管,围绕充分发挥交易所一线监管功能这一核心,沪深交易所共同主办的证券交易所一线监管国际研讨会8月25日在上海召开。中国证监会主席刘士余出席研讨会并致辞。

刘士余指出,证券交易所作为市场的组织者、运营者和自律监管者,处在资本市场监管体系的第一线,具有独特的优势和不可替代的作用。从国际上看,交易所天然具有监管的职能,并普遍为法律所确认。交易所不管组织形态如何变迁,始终扮演着监管的角色。这不仅成为国际共识,而且形成丰富的实践。从中国的实践看,交易所一线监管必须坚定不移地搞,还有改进的空间。2016年以来,沪深交易所的工作重心实现了向一线监管的转移,探索建立了“以监管会员为中心”的交易行为监管模式,对上市公司信息披露实施“刨根问底”式的监管,市场乱象得到有效遏制,市场生态发生积极变化。近两年,中国资本市场走得比较稳,得益于沪深交易所自觉担负起一线监管的责任,今后要更好发挥这方面的作用。希望境内外交易所携手合作,共同做好一线监管的文章。中国证监会将以更大的力度支持境内外交易所开展务实合作,为全球资本市场稳定繁荣注入新动力。

11家交易所参加了研讨会。各交易所在会上就如何发挥交易所在市场监管和风险防范中的职能,介绍了各自经验,就监管者需要如何平衡好组织发展市场与监管规范市场之间的关系、如何进一步加强行政监管与交易所自律监管的结合、如何让会员更加主动地担负起客户交易管理职责等核心问题,开展了深入讨论。

各交易所均表示,当前国际资本市场面临的问题与挑战日趋增多,防范金融风险已成为各国经济金融工作的重中之重。各地资本市场虽然特点不同,监管实践做法各有特色,但均认同加强市场监管是资本市场长期稳定健康发展的保障,交易所应当在市场监管中有效发挥处于一线的优势和作用。特别是来自韩国、印度等新兴市场的交易所认为,以个人投资者为主的资本市场需要更加强有力的监管,交易所应当针对严重投机炒作以及运用虚假申报等方式进行不正当交易,及时予以严格监管,维护交易公平和正常交易秩序。

会上,各交易所就加强国际协作、探讨建立跨境跨所联动监管达成共识。各交易所表示,未来将携手共进,不断深化合作,发挥监管合力,以共同应对未来全球金融风险可能带来的冲击。

下一阶段,沪深交易所将切实扛起市场监管和风险防范的一线责任,建立健全“以监管会员为中心”的交易行为监管模式,加强与境内外交易所的沟通交流,借鉴境内外交易所优秀的监管经验和做法,不断丰富监管措施,提高监管能力,增强监管实效,推进跨市场监控信息共享,切实保护中小投资者合法权益,努力促进资本市场健康稳定发展。

中国证监会有关部门和单位负责人,上海证券交易所、深圳证券交易所、纳斯达克、香港交易所及结算有限公司、巴基斯坦证券交易所、伦敦证券交易所、日本交易所集团、孟买证券交易所、新加坡交易所监管公司、台湾证券交易所股份有限公司、韩国交易所共11家交易所代表出席研讨会并作交流发言。

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