【作者】 彭婕；

【导师】 徐冬根；

【作者基本信息】 上海交通大学 ， 国际法学， 2009， 硕士

【摘要】 股票市场和股指期货市场之间存在着从风险到流动性方面的较强的内在联动性,因此对于股票市场和股指期货市场进行联合监管便凸显其必要性。又由于在我国证券和期货市场的发展过程中,内幕交易和市场操纵一直是突出的两个问题,因此在构建跨市场监管法律制度时,应当从这两个方面入手,对比成熟资本市场在内幕交易和市场操纵上的立法,形成我国在跨市场监管前提下对内幕交易和市场操纵的界定。同时,我国应通过比较借鉴美国、英国、新加坡和台湾等四个金融监管制度较发达的国家或地区在监管体制、监管方式和监管途径上的制度规定,从完善立法、构建监管主体合作框架以及确立具体的监管制度等层面构建我国跨市场监管的法律框架。更多还原

【Abstract】 The internal relations between the stock market and stock index futures market are fairly strong in respect of risk and liquidity, and therefore verifies the necessity of cross-market regulation of the aforesaid markets. In consideration that insider trading and market manipulation are of great significance in the development of the stock market and futures market, it is proposed that the establishment of cross-market regulation should be conducted through the definitions of insider trading and market manipulation based on the comparison of legislation on the aforesaid definitions in those mature capital markets. In the meantime, China should, after taking America, England, Singapore and Taiwan, which have developed financial regulation systems, as the objects of research, comparing respective legislations and systems from the perspectives of regulation framework, manner and process, establish the cross-market regulation through improved legislations, cooperation between regulators and specific regulatory system.更多还原