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CommonID:DIR_12866172,ID:2866172,SiteID:14,Type:chapter,Code:null,ParentId:0,InnerCode:140494,name:一 金融市场监管主体与市场主体,ShortName:null,SubName:null,EnTitle:1 Administrative Agents & Domain Financial Institutions,EnShortTitle:null,EnSubTitle:null,Level:0,BookId:2866160,AbstractCH:本文的内容包括三部分: 第一部分介绍现存的主要监管主体及其授权权限；第二部分观察几个主要的市场主体及其竞争格局；第三部分反思国内金融市场监管框架的主要问题。,AbstractEN:,KeyWords:7702,172470,47240,47540,EKeyWords:48240,172471,172472,53106,SubjectWords:208282,LiteratureId:2866173,Fileref:null,OrderFlag:0,IsLeaf:N,PubDate:null,FindDate:null,IssueDate:null,DocType:null,ProductSeries:null,Doi:null,InstanceID:0,MinNodeSearch:Y,XmlID:b1201405010040389_000_001,Prop1:null,Prop2:null,Prop3:null,prop4:null,AddUser:fanlanlan,AddTime:2014-09-30 10:45:29.0,ModifyUser:Admin,ModifyTime:2021-11-02 21:30:31.0,HitCount:22,ShowType:putong,LogoID:0,PdfID:2866174,DownCount:1,AuthorInfos:{"彭志刚":{"Address":"","Affiliation":"","Email":"E-mail：pzg@126.com","Role":null,"Photo":null,"Blurb":"

彭志刚，西南证券研发中心总经理助理

"}},BookPublishDate:2005-07-01 00:00:00.0,SearchTitle:金融市场监管主体与市场主体,ISBN:7-80190-652-7,BookTitle:中国金融制度创新报告（2005）,BookStatus:7,AllowDownload:Y,BookVersionNum:null,researchorg:null,CopyRightDate:null,ExcellentPeriod:null,PrizeLevel:null,IsExcellence:null,ContentClass:null,IsDisabled:N,SearchTitle_2:金融市场监管主体与市场主体,_RowNo:4

CommonID:DIR_12866247,ID:2866247,SiteID:14,Type:chapter,Code:null,ParentId:0,InnerCode:140495,name:二 金融市场准入与退出：一般性描述,ShortName:null,SubName:null,EnTitle:2 Regulations over Entry and Exits：A general Description,EnShortTitle:null,EnSubTitle:null,Level:0,BookId:2866160,AbstractCH:本文主要描述了金融市场的准入与退出，分析了金融市场的监管体制。首先分析了分业监管及其退化，然后介绍了分类监管的情况，分类监管体现了对市场主体跟踪监管、动态监管的新思路，是对分业监管制度的深化。分业监管由于在实施中被退化为分主体监管， 在两年不到的时间里，就已经暴露出很多弊端，随着金融市场结构和体系的逐步完善，资本流动的内在要求导致跨行业、跨市场业务逐日增多，诱致出合作监管理念的兴起。文章的最后对分管主体模式进行了反思。,AbstractEN:,KeyWords:7702,172476,172477,172478,172479,EKeyWords:48240,172480,172481,172482,172483,SubjectWords:208286,208287,208288,LiteratureId:2866248,Fileref:null,OrderFlag:0,IsLeaf:N,PubDate:null,FindDate:null,IssueDate:null,DocType:null,ProductSeries:null,Doi:null,InstanceID:0,MinNodeSearch:Y,XmlID:b1201405010040389_000_002,Prop1:null,Prop2:null,Prop3:null,prop4:null,AddUser:fanlanlan,AddTime:2014-09-30 10:45:33.0,ModifyUser:Admin,ModifyTime:2021-11-02 21:30:31.0,HitCount:33,ShowType:putong,LogoID:0,PdfID:2866249,DownCount:1,AuthorInfos:{"杨如彦":{"Address":"","Affiliation":"","Email":"E-mail：yangruyan@gscas.ac.cn","Role":null,"Photo":null,"Blurb":"

杨如彦，中国科学院研究生院管理学院副教授

"},"彭志刚":{"Address":"","Affiliation":"","Email":"E-mail：pzg@126.com","Role":null,"Photo":null,"Blurb":"

彭志刚，西南证券研发中心总经理助理

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CommonID:DIR_12866295,ID:2866295,SiteID:14,Type:chapter,Code:null,ParentId:0,InnerCode:140496,name:三 分业监管模式中的交叉准入,ShortName:null,SubName:null,EnTitle:3 Cross Jurisdiction over Entry of Financial Service,EnShortTitle:null,EnSubTitle:null,Level:0,BookId:2866160,AbstractCH:本文分析了分业监管模式中的交叉准入，分别从同一金融机构的交叉准入、同一金融业务的交叉准入和跨国金融服务的准入三个方面入手。,AbstractEN:,KeyWords:20421,172476,32797,172484,32388,EKeyWords:20173,172480,71231,46409,23547,SubjectWords:208289,208290,208291,LiteratureId:2866296,Fileref:null,OrderFlag:0,IsLeaf:N,PubDate:null,FindDate:null,IssueDate:null,DocType:null,ProductSeries:null,Doi:null,InstanceID:0,MinNodeSearch:Y,XmlID:b1201405010040389_000_003,Prop1:null,Prop2:null,Prop3:null,prop4:null,AddUser:fanlanlan,AddTime:2014-09-30 10:45:33.0,ModifyUser:Admin,ModifyTime:2021-11-02 21:30:31.0,HitCount:18,ShowType:putong,LogoID:0,PdfID:2866297,DownCount:0,AuthorInfos:{"彭志刚":{"Address":"","Affiliation":"","Email":"E-mail：pzg@126.com","Role":null,"Photo":null,"Blurb":"

彭志刚，西南证券研发中心总经理助理

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CommonID:DIR_12866333,ID:2866333,SiteID:14,Type:chapter,Code:null,ParentId:0,InnerCode:140497,name:四 金融市场交易连续性监管,ShortName:null,SubName:null,EnTitle:4 Regulation over Continuity of Financial Transaction,EnShortTitle:null,EnSubTitle:null,Level:0,BookId:2866160,AbstractCH:本文的主要任务是论述以市场主体行为为规范对象的制度，维护市场交易的安全性和连续性是金融监管的核心任务之一。文章首先分析了以净资本为核心的资本维持制度，然后分析了持续经营监管制度，最后指出了金融监管的内部治理结构，维持一定标准的净资本规模、财务结构以及维护一个市场认可的信用记录来保障公司持续经营尽管十分重要，但在金融机构内部构建一个权利制衡体系，也是保证公司决策科学理性、守法稳健的关键。,AbstractEN:,KeyWords:20421,68796,172487,58188,EKeyWords:20173,68799,172488,138381,SubjectWords:208293,LiteratureId:2866334,Fileref:null,OrderFlag:0,IsLeaf:N,PubDate:null,FindDate:null,IssueDate:null,DocType:null,ProductSeries:null,Doi:null,InstanceID:0,MinNodeSearch:Y,XmlID:b1201405010040389_000_004,Prop1:null,Prop2:null,Prop3:null,prop4:null,AddUser:fanlanlan,AddTime:2014-09-30 10:45:33.0,ModifyUser:Admin,ModifyTime:2021-11-02 21:30:31.0,HitCount:24,ShowType:putong,LogoID:0,PdfID:2866335,DownCount:0,AuthorInfos:{"杨如彦":{"Address":"","Affiliation":"","Email":"E-mail：yangruyan@gscas.ac.cn","Role":null,"Photo":null,"Blurb":"

杨如彦，中国科学院研究生院管理学院副教授

"},"彭志刚":{"Address":"","Affiliation":"","Email":"E-mail：pzg@126.com","Role":null,"Photo":null,"Blurb":"

彭志刚，西南证券研发中心总经理助理

"}},BookPublishDate:2005-07-01 00:00:00.0,SearchTitle:金融市场交易连续性监管,ISBN:7-80190-652-7,BookTitle:中国金融制度创新报告（2005）,BookStatus:7,AllowDownload:Y,BookVersionNum:null,researchorg:null,CopyRightDate:null,ExcellentPeriod:null,PrizeLevel:null,IsExcellence:null,ContentClass:null,IsDisabled:N,SearchTitle_2:金融市场交易连续性监管,_RowNo:7

CommonID:DIR_12866381,ID:2866381,SiteID:14,Type:chapter,Code:null,ParentId:0,InnerCode:140498,name:五 资产管理业务监管制度及其变迁,ShortName:null,SubName:null,EnTitle:5 Regulation over Asset-Management,EnShortTitle:null,EnSubTitle:null,Level:0,BookId:2866160,AbstractCH:本文研究的重点包括三方面: 第一，针对同一金融子市场内资产管理业务的同质性进行分析，观察监管制度的着力点，并尝试探讨其科学性；第二，针对不同金融子市场中不同金融机构所从事的资产管理业务涉及的委托—代理关系的差异性进行分析，指明制度资源匹配的大致格局，并探讨其科学性和协调性；第三，针对同一金融市场中不同金融机构所从事的资产管理业务涉及的委托—代理关系的差异性进行分析，指出监管模式的实际操作过程如何在市场上传导其作用。我们分别选取证券市场、货币市场、外汇市场和信托市场， 说明对于发生在这些市场中的资产管理业务，其监管机构如何减小委托/信托关系的当事人信息不对称、建立适当激励约束机制的努力。,AbstractEN:,KeyWords:24926,172489,29603,20425,32360,EKeyWords:26759,172490,29619,158929,32363,SubjectWords:208295,208296,LiteratureId:2866382,Fileref:null,OrderFlag:0,IsLeaf:N,PubDate:null,FindDate:null,IssueDate:null,DocType:null,ProductSeries:null,Doi:null,InstanceID:0,MinNodeSearch:Y,XmlID:b1201405010040389_000_005,Prop1:null,Prop2:null,Prop3:null,prop4:null,AddUser:fanlanlan,AddTime:2014-09-30 10:45:34.0,ModifyUser:Admin,ModifyTime:2021-11-02 21:30:31.0,HitCount:27,ShowType:putong,LogoID:0,PdfID:2866383,DownCount:4,AuthorInfos:{"杨如彦":{"Address":"","Affiliation":"","Email":"E-mail：yangruyan@gscas.ac.cn","Role":null,"Photo":null,"Blurb":"

杨如彦，中国科学院研究生院管理学院副教授

"},"陈国光":{"Address":"","Affiliation":"","Email":"E-mail：chengg3@em.tsinghua.edu.cn","Role":null,"Photo":null,"Blurb":"

陈国光，清华兴业投资管理有限公司研究院

"}},BookPublishDate:2005-07-01 00:00:00.0,SearchTitle:资产管理业务监管制度及其变迁,ISBN:7-80190-652-7,BookTitle:中国金融制度创新报告（2005）,BookStatus:7,AllowDownload:Y,BookVersionNum:null,researchorg:null,CopyRightDate:null,ExcellentPeriod:null,PrizeLevel:null,IsExcellence:null,ContentClass:null,IsDisabled:N,SearchTitle_2:资产管理业务监管制度及其变迁,_RowNo:8

CommonID:DIR_12866455,ID:2866455,SiteID:14,Type:chapter,Code:null,ParentId:0,InnerCode:140499,name:六 金融市场风险监管制度,ShortName:null,SubName:null,EnTitle:6 Regulations to Control Market Risk,EnShortTitle:null,EnSubTitle:null,Level:0,BookId:2866160,AbstractCH:本文按照我国具有国情特色的风险种类划分，以不同的金融子市场为线索，将不同金融子市场的风险演变历史穿插其间，围绕不同时点上宏观经济形势与金融子市场风险形成和扩散的关系，说明监管人在维护市场稳定、保护市场主体的合法利益、促进市场的创新与发展方面构建风险监管制度的逻辑过程，从而归纳出金融风险监管制度的一般性原则。,AbstractEN:,KeyWords:7702,130910,172493,172494,141763,EKeyWords:48240,130912,172495,172496,50668,SubjectWords:208301,208302,208303,LiteratureId:2866456,Fileref:null,OrderFlag:0,IsLeaf:N,PubDate:null,FindDate:null,IssueDate:null,DocType:null,ProductSeries:null,Doi:null,InstanceID:0,MinNodeSearch:Y,XmlID:b1201405010040389_000_006,Prop1:null,Prop2:null,Prop3:null,prop4:null,AddUser:fanlanlan,AddTime:2014-09-30 10:45:34.0,ModifyUser:Admin,ModifyTime:2021-11-02 21:30:31.0,HitCount:42,ShowType:putong,LogoID:0,PdfID:2866457,DownCount:3,AuthorInfos:{"杨如彦":{"Address":"","Affiliation":"","Email":"E-mail：yangruyan@gscas.ac.cn","Role":null,"Photo":null,"Blurb":"

杨如彦，中国科学院研究生院管理学院副教授

"},"彭志刚":{"Address":"","Affiliation":"","Email":"E-mail：pzg@126.com","Role":null,"Photo":null,"Blurb":"

彭志刚，西南证券研发中心总经理助理

"},"贾飙":{"Address":"","Affiliation":"","Email":"","Role":null,"Photo":null,"Blurb":"

贾飙，泰阳证券研究所，清华大学金融系。

"}},BookPublishDate:2005-07-01 00:00:00.0,SearchTitle:金融市场风险监管制度,ISBN:7-80190-652-7,BookTitle:中国金融制度创新报告（2005）,BookStatus:7,AllowDownload:Y,BookVersionNum:null,researchorg:null,CopyRightDate:null,ExcellentPeriod:null,PrizeLevel:null,IsExcellence:null,ContentClass:null,IsDisabled:N,SearchTitle_2:金融市场风险监管制度,_RowNo:9

CommonID:DIR_12866551,ID:2866551,SiteID:14,Type:chapter,Code:null,ParentId:0,InnerCode:140500,name:七 2004年的货币政策/汇率制度,ShortName:null,SubName:null,EnTitle:7 Money Policy & Exchange Rate Regulation in 2004,EnShortTitle:null,EnSubTitle:null,Level:0,BookId:2866160,AbstractCH:本文对2004年的货币政策进行了分析，首先介绍了货币政策的目标与操作，然后分析了我国的外汇管理体制，最后对2004 年货币政策操作进行了反思。,AbstractEN:,KeyWords:7490,20431,21528,EKeyWords:20169,172511,94510,SubjectWords:208325,LiteratureId:2866552,Fileref:null,OrderFlag:0,IsLeaf:N,PubDate:null,FindDate:null,IssueDate:null,DocType:null,ProductSeries:null,Doi:null,InstanceID:0,MinNodeSearch:Y,XmlID:b1201405010040389_000_007,Prop1:null,Prop2:null,Prop3:null,prop4:null,AddUser:fanlanlan,AddTime:2014-09-30 10:45:34.0,ModifyUser:Admin,ModifyTime:2021-11-02 21:30:31.0,HitCount:20,ShowType:putong,LogoID:0,PdfID:2866553,DownCount:1,AuthorInfos:{"高煜":{"Address":"","Affiliation":"","Email":"E-mail：gaoyuxd@163.com","Role":null,"Photo":null,"Blurb":"

高煜，经济学博士，西北大学经济管理学院教师

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