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交易所一线监管:日本市场的制度安排与实践

2017-09-05 07:51:43   中国经济网

日本交易所集团在相关政府机构如金融厅、日本证券交易监管委员会的监督指导下开展业务,其市场自律监管方面的工作则委托给子公司日本交易所自主规制法人操作。

自2015年股市异常波动以来,内地资本市场监管格局出现了新的变化。近日,沪深证券交易所联合举办“证券交易所一线监管国际研讨会”,邀请有代表性的9家境外交易所参加。从研讨会上反映出的信息看,强化市场监管是世界各国交易所共同的认识。对尚不够成熟的新兴市场来说,证券交易所的一线监管更是维护市场秩序、保护中小投资者利益的直接保障,发挥着至关重要的作用。

据日本代表介绍,在一线监管方面,日本交易所投入了大量资源,用于组织实施证券交易实时监控。通过发出警示、实施调查和要求会员拒绝接受客户委托等措施,及时识别和制止异常交易行为,防止不利影响进一步扩大。

交易所应提供自律监管服务

日本交易所集团包括东京证券交易所(主要承担股票市场业务)、大阪证券交易所(主要承担衍生品市场业务)以及日本证券清算公司。根据《日本金融工具与交易法》:“金融工具交易所应根据本法案合理提供自律监管相关服务。”日本交易所集团在相关政府机构如金融厅、日本证券交易监管委员会的监督指导下开展业务,其市场自律监管方面的工作则委托给子公司日本交易所自主规制法人操作。后者承担的业务包括市场监管与合规检查、交易参与者的审查与检查、公司上市审查、上市公司合规检查等几乎全部交易所一线监管的功能与职责。

据日本代表介绍,日本交易所自主规制法人市场监察合规部门由三个小组和一个办事处组成,即规划与协调组、市场监管组、衍生品监管组、国际监管署,共约70名成员。规划与协调组制定市场监管规则,致力于精简和推动市场监管操作,并通过其他措施与国外自律监管组织进行协调;还负责处理交易参与者(有资格直接进入东京证交所或大阪证交所交易平台的经纪商)提出的问询,开展教育活动。市场监管组负责调查市场操纵和内幕交易行为。市场监管组设有专门的市场分析师,每位市场分析师负责监视一组股票有无异常活动,检查和分析任何可疑的市场活动。衍生品监管组从整体市场活动的角度出发,监督和分析衍生产品、篮子交易以及套利交易有无异常;还调查分析市场趋势及新的交易方式。国际监管署则专管跨境交易,与日本证券交易监管委员会和国外自律监管组织合作,进行迅速精准的市场监管;还与日本国外的市场使用者进行交流沟通,作为日本交易所集团的一员,推进日本交易所集团的亚洲战略。

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