首页|我国证券数据跨境流动的监管路径探索

我国证券数据跨境流动的监管路径探索

扫码查看
在数字经济背景下,数据跨境流动成为金融全球化的重要推动力.证券数据作为金融数据的特定分类,具有开放性高、定制性强、行业属性鲜明等特征,在个人隐私及企业利益保护、维护金融安全等方面有较强的监管需求.证券数据跨境流动在实践中具有广泛的业务场景,当前监管实践中存在规则冲突、落地困难等问题.文章对全球视角下证券数据跨境流动的监管机制进行了对比,梳理出美国、欧盟以及其他重要国际协作机制的不同特点;并以此为借鉴,就我国证券数据跨境流动的监管,提出构建统一监管制度、明确监管机构职能、完善数据分类分级标准、推动行业标准制定、引入第三方专业机构、积极参与国际协作以及强化科技赋能等具体建议.
In the context of the digital economy,cross-border data flow becomes an important driving force for financial globalization.As a specific classification of financial data,securities data is characterized by high openness,strong customization,and distinct industry attributes,and is of strong regulatory demand for protecting personal privacy and corporate interests and maintaining financial security.The cross-border flow of securities data has a wide range of business scenarios in practice and current regulatory practices face several challenges such as rule conflicts and implementation difficulties.The article compares the regulatory mechanisms for the cross-border flow of securities data from a global perspective and sorts out the distinctive characteristics of the United States,the European Union,and other important international cooperation mechanisms.Drawing on this,regarding the construction of China's regulation system for the cross-border flow of securities data,the article puts forward specific suggestions for building a unified regulation system,clarifying the functions of regulatory entities,improving data classification and grading standards,promoting the formulation of industry standards,introducing professional third-party institutions,actively participating in international cooperation,and strengthening technology empowerment.

securities datafinancial regulationcross-border data flow

王洪涛、孙璐、熊友根、赵靖

展开 >

国金证券股份有限公司,上海 201204

证券数据 金融监管 数据跨境流动

中国证券业协会2023年度优秀课题

2023SACKT127

2024

证券市场导报
深圳证券交易所综合研究所

证券市场导报

CSTPCDCSSCICHSSCD北大核心
影响因子:1.331
ISSN:1005-1589
年,卷(期):2024.(9)