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2014年3月28日,證監會發佈施行《中國證監會行政許可和監管執法事項不當說情備案規定(試行)》,以保障監管工作的公正性、獨立性,排除行政許可和監管執法過程中的不當干擾,切實保護投資者的合法權益。不當說情行為與人情社會、關係文化、制度不完善、工作不透明等多方面因素密不可分,可能誘發經辦人員的道德風險和廉政風險,影響行政許可和監管執法的公正、
On March 28, 2014, the China Securities Regulatory Commission promulgated the “Provisions on Proper Filing of Administrative Circulation and Supervision and Law Enforcement of CSRC (Trial Implementation)” to ensure the fairness and independence of regulatory work and to eliminate administrative license and regulatory enforcement Undue interference, and effectively protect the legitimate rights and interests of investors. Improper behavior can be inseparable from many factors, such as the social relations of human beings, the culture of relations, the imperfect system and the opaque work, which may induce moral hazard and integrity risks of handling personnel, influence the fairness of administrative licensing and supervision and law enforcement,