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交易所要健全监管模式 丰富措施强化一线职责

2017-09-04 07:05:51   中国经济网

交易所要健全监管模式

丰富措施强化一线职责

■择 远

日前,中国证监会就修订《证券交易所管理办法》(征求意见稿)向社会公开征求意见。此次修订的重点体现在两个方面,一是优化证券交易所内部治理结构,进一步体现和发挥会员的法律地位及作用;二是进一步促进证券交易所履行一线监管职责,充分发挥自律管理作用。

促进交易所履行一线监管职责非常必要。中国证监会主席刘士余日前在“证券交易所一线监管国际研讨会”上表示,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,并普遍为法律所认同。因此,交易所不管组织形态如何变迁,始终扮演者监管的角色。

这是继今年2月份全国证券期货监管工作会议和4月份深交所会员大会后,刘士余再次就交易所发挥一线监管的作用发声。

不可否认的是,现行的《证券交易所管理办法》自2001年修订并发布实施以来,对沪深证券交易所的规范运作和证券交易市场的健康发展起到了重要作用。但是,16年来,市场发生了很多变化,相关的法律法规及交易所的监管实践也发生了变化。因此,有必要对办法进行修订,以适应市场发展的需要。

笔者认为,此次证监会就《证券交易所管理办法》的修订向社会公开征求意见,对交易所回归本位,切实发挥好对证券交易活动组织、监督、管理和服务的功能,优化市场资源配置,服务实体经济有重大意义。其目的就是要让交易所回归加强一线监管的本位,以适应规范市场秩序、防范化解市场风险和保障广大中小投资者合法权益的需求,进而为资本市场的健康发展保驾护航。

证券交易所绝不仅仅只是一个交易的平台,还应该是一个天然的监管主体。其在一线监管过程中,能够接触到一手材料,掌握更多的动态和信息。特别是从我国的证券交易所来看,有一个天然的优势,就是能够看透所有的账户。这就方便了交易所对一些违法违规行为能够及时发觉,并采取切实有效的监管措施。

在中国证监会深入推进依法、从严、全面监管的背景下,沪深交易所的一线监管职责得到了重点强化。以对异常交易的监管为例,2016年沪深交易所共发出书面和口头警示7000余次,今年以来,已经发出4000多次。

可以说,随着交易所在维护市场秩序、净化市场生态方面的作用日益凸显,市场对于交易所一线监管的关注度和响应度也在与日俱增。而对市场实施一线监管,既是交易所的天然职责、法定职责,也是自身竞争力的直接体现,在维护市场秩序、保护中小投资者利益方面,发挥着至关重要的作用。

加强市场监管是资本市场长期稳定健康发展的保障,交易所理应在市场监管中有效发挥处于一线的优势和作用。这就要求沪深交易所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,丰富监管措施,提高监管能力,增强监管实效,切实保护好中小投资者的合法权益,促进市场稳定健康发展。

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