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 securities supervision of the International Securities Regulatory Commission has three objectives: 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.
To improve China's current securities legal liability system, we must adhere to six principles, namely, the principle of strict liability and strengthening supervision, the principle of promotion and development, the principle of coordination between justice and development, the principle of paying equal attention to entity and procedure, the principle of emphasizing civil liability and the principle of strengthening individual liability, so as to build a securities legal liability system that can effectively guarantee the orderly, standardized, sustained and healthy development of China's securities market.
The objectives of securities market supervision 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.
Principles of securities market supervision
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 object of securities supervision is all legal persons and natural persons who participate in securities market activities. Generally include:
1, industrial and commercial enterprises.
2. Fund.
3. individuals.
4. Securities financial intermediaries.
5. Stock exchanges or other centralized trading places.
6. Other intermediaries in the securities market.
Three means of securities market supervision
1, legal means. This is the main means of the regulatory authorities.
2. Economic means.
3. Administrative means.
The securities supervision system in the United States is centralized management by the government, that is, the government comprehensively supervises the securities market according to laws and regulations.
legal ground
Legal system of securities supervision: departmental rules, a series of documents issued by the state to regulate information disclosure, and administrative laws. Securities market laws and regulations are divided into three levels; The first level, law (end of law); The second level, administrative regulations (at the end of the regulations); The third level, departmental regulations (the end of measures or regulations). China Securities Law came into effect on July 1999.