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2013年8月16日,光大证券上演非正常操作,导致股市大幅异常波动。此事件反映出证券监管的重要两环出了问题:证券公司内部控制和证券交易所监管制度。本文以“光大8.16事件”为研究对象,讨论了事件中暴露出的两方监管问题,分析了监管问题给证券公司本身、证券投资者以及整个证券市场带来的影响,并提出相应的改进措施。
On August 16, 2013, Everbright Securities staged an abnormal operation, resulting in a sharp abnormal stock market volatility. This incident reflects the important two aspects of securities regulatory problems: the securities company’s internal control and stock exchange regulatory system. This article takes “Everbright 8.16 Incident” as the research object, discusses the two regulatory issues exposed in the incident, analyzes the influence of regulatory issues on securities companies themselves, securities investors and the entire stock market, and puts forward corresponding improvement measures.