投资银行监管的国际经验借鉴及启示

摘要

The development of investment banking in China is late;some problems exist in the supervision sys-tem and the mode. Compared with developed countries,there is a big gap in the level of market regulation,the abili-ty of anti-risk of financial institutions and the supervision level of the supervision department. Therefore it is neces-sary to strengthen the supervision of the securities market and the related business of its main investment banking. By learning from the investment banking supervision system of foreign mature market,China can implement compre-hensive regulatory system reform,pay attention to the government and industry self-discipline supervision,establish the insurance system of investment banks,strengthen the internal control construction of investment banks,and pro-mote the healthy operation of the capital market in our country.%我国投资银行业起步较晚，监管体制和模式存在一定的问题，在市场规范程度、金融机构抗风险能力和监管部门的监管水平等方面与发达国家相比，存在较大的差距。因此，有必要加强对我国证券市场及其主体投资银行相关业务监管。借鉴国外成熟市场投资银行监管体制，我国可实行综合型监管体制改革，注重政府、行业自律监管相结合，建立投资银行保险制度，加强投资银行内控建设，促进我国资本市场正常健康运转。