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新世纪似来,为了更充分利用国外资本市场资源,我国企业加快“走出去”步伐,跨境上市早已不是什么新名词;目前,沪港通平稳运行,深港通开通在即。但是随之而来的跨境证券交易监管问题日益显现,其中,“执法难”成了全球证券监管机构共同面临的难题。尤其是作为跨境证券交易执法核心问题的调查收集证据以及查封扣押财产,已引起国际证券监管机构的注意,并成为双边谅解备忘录和多边监管合作的主要内容。美国证券法体系完整、内容详尽、规范有力,对跨境交易的执法范围广、力度大、效率高,其先进的执法理念和丰富的执法经验值得我国学习和借鉴。
In the new century, cross-border listing is no longer a new term in order to make full use of the resources of foreign capital markets by accelerating the pace of “going global.” At present, the operation of Shanghai-Hong Kong Stock Connect is smooth and the Shenzhen-Hong Kong Stock Connect is opening soon. However, the regulatory problems of cross-border securities transactions have become increasingly apparent. Among them, “difficult enforcement of laws” has become a common problem faced by securities regulators all over the world. In particular, the investigation of evidence collected as a core issue of the enforcement of cross-border securities transactions and the seizure of seized assets have drawn the attention of international securities regulators and become the main content of bilateral memorandums of understanding and multilateral regulatory cooperation. The securities law system of the United States is complete, detailed, standardized and powerful, has a wide range of law enforcement on cross-border transactions, has great intensity and high efficiency. Its advanced law enforcement concepts and rich experience in law enforcement deserve our learning and reference.