摘要
本文对广东证券投资咨询机构现状和问题进行了分析。本文认为,当前证券投资咨询业面临的行业危机,本质上是制度问题。因此,要解决证券咨询行业面临的问题,仅靠单一手段和单一措施难以奏效,必须采取综合治理的思路,推进证券投资咨询制度变革,修改和完善相关法律制度,推动咨询公司业务转型,落实证券公司咨询服务义务,建立打击非法咨询活动的长效机制,改进证券投资咨询监管方式,促进证券投资咨询业持续健康发展。
In this paper, we analyzed the current status and problems of the securities investment advisory bodies in Guangdong. We believe that the crisis that the securities investment consulting industry is facing, in essence, is the system itself. Therefore, to solve the problems, a single means or a single step alone is hardly working, we must take an comprehensive way to promote the institutional changes, modify and improve the relevant legal system, encourage business transformation in consulting firms, implement the obligations of consulting services, establish a long-term mechanism to fight against illegal consulting activities, improve the methods of supervision, so that the sustainable and healthy development of the securities investment consulting industry can be achieved.
出处
《证券市场导报》
CSSCI
北大核心
2010年第1期13-17,39,共6页
Securities Market Herald
关键词
证券投资咨询
投资咨询业
咨询机构
证券咨询监管
Securities investment consulting, investment advisory industry, advisory bodies, security consulting supervision
