中国问询函监管的发展历程及演进特征
The Development Process and Evolution Characteristics of Inquiry Letter Supervision in China
宋新宇 1吴岩 2徐少康1
作者信息
- 1. 山东工商学院 金融学院,山东 烟台 264005
- 2. 中邮人寿保险股份有限公司山东分公司,山东 济南 250011
- 折叠
摘要
问询函是中国资本市场的常用监管手段,对我国完善现代金融监管体系和落实具体规划要求发挥着关键作用.基于此,文章从问询函的创始阶段、信息披露改革阶段、试点注册制阶段以及全面实施注册制阶段,分析了中国问询函监管的发展历程及演进特征,并对其背后的演变原因加以探讨.文章通过对问询函制度的历史演变进行回顾,以期为深化监管体制改革、提升监管有效性、促进资本市场持续健康发展提供经验借鉴.
Abstract
The inquiry letter is a common means of capital market supervision in China,which plays a key role in improving the modern financial supervision system and implementing specific planning requirements.Based on this,this paper analyzes the development process and evolution characteristics of China's inquiry letter regulation from the founding stage,the information disclosure reform stage,the pilot registration system stage and the full implementation of the registration system stage,and discusses the reasons behind the evolution.By reviewing the historical evolution of the inquiry letter system,this paper hopes to pro-vide experience for deepening the reform of the supervision system,improving the effectiveness of supervi-sion,and promoting the sustainable and healthy development of the capital market.
关键词
问询函/非处罚性监管/监管改革Key words
Inquiry Letter/Non-Punitive Supervision/Regulatory Reform引用本文复制引用
出版年
2024
NETL
NSTL
万方数据