The principle of securities market supervision: the principle of supervision according to law; Principle of protecting investors' interests; The principle of "three publics" (openness, fairness and justice); The principle of combining supervision with self-discipline. This principle means that the self-discipline, self-education and self-management of employees should be strengthened while strengthening the supervision of the securities market by the government and securities regulatory agencies. The principle of combining state supervision with self-management is a common principle pursued by all countries in the world.

Securities market supervision

Securities market supervision refers to the supervision and management of securities issuance, issuance and trading as well as the behavior of securities investment intermediaries by the securities management authorities by using legal, economic and necessary administrative means.

model

There are three modes for countries to supervise the securities market: one is centralized management by the government, that is, the government comprehensively supervises the securities market according to laws and regulations, and its representative is the United States; Second, self-discipline management, mainly by the stock exchange and securities dealers association and other institutions to manage the securities market, the government less intervention, its representative is Britain; The third type is intermediate management, which emphasizes both legislative management and self-discipline management, and is represented by Germany.

principle

1, regulated according to law.

2. The principle of protecting the interests of investors. It is the primary task of securities supervision in various countries to crack down on acts that harm the interests of small and medium-sized investors and protect market fairness.

3. Three principles: openness, fairness and justice.

4. Combination of supervision and self-discipline.

The three objectives of securities supervision of the International Securities Regulatory Commission are: first, to protect investors; The second is to ensure the fairness, efficiency and transparency of the securities market; The third is to reduce systemic risks. Among them, protecting the legitimate rights and interests of investors is the primary goal of securities supervision.

Legal basis: Securities Law Article 1 This Law is formulated in order to regulate the issuance and trading of securities, protect the legitimate rights and interests of investors, safeguard social and economic order and social public interests, and promote the development of the socialist market economy.