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2019年证券业监管报告及2020年监管展望

文章摘要:2019年是中国资本市场深化供给侧结构性改革的关键之年。设立科创板并试点注册制重大改革在上海证券交易所成功落地,以信息披露为核心的股票发行注册制平稳运行,资本市场服务国家创新驱动和科技强国战略的能力显著增强。中国证监会主导的全面深化资本市场改革方案逐步出台并有序开展实施,《证券法》修订稿得到顺利通过,资本市场基础制度完善取得了重要突破。提升上市公司质量行动计划稳步实施,证券市场“晴雨表”功能日益增强。多层次资本市场建设取得了进展,新三板改革方案制定完成并全面开启实施,新制度新业务在区域性股权市场开展试点。资本市场双向开放稳步加深,沪伦通正式开通,各类外资投资比例限制得到进一步放宽。防控和化解上市公司股票质押、民营企业债券违约、私募股权基金风险取得阶段性进展。期货期权品种不断丰富。资本市场服务实体经济能力得到提升。

Abstract:In 2019,China’s capital market initiated supply-side structural reform. A major reform of Sci-Tech innovation board and registration system were successfully implemented in the Shanghai Stock Exchange. The stock issue registration system with information disclosure as the core runs smoothly. The ability of capital markets to serve national innovation-driven strategies has increased significantly. The China Securities Regulatory Commission(CSRC)has carried out the comprehensive deepening reform of the capital market,and the work of revised Securities Law is going well. The basic system of the capital market has been gradually improved,the quality of listed companies has steadily improved and the “barometer” function of the stock market is increasing day by day. Progress has been made in building a multi-tiered capital market. The new system and new business in the regional equity market gradually developed. Two-way opening of the capital market has deepened steadily.

作者简介

星焱:星焱,经济学博士,金融学博士后,副研究员,中国社会科学院金融法律与金融监管基地特约研究员,主要研究方向为资本市场、金融监管、普惠金融等。

杨楷:杨楷,金融学博士、博士后,助理研究员,中国社会科学院金融法律与金融监管基地特约研究员,主要研究方向为金融监管、多层次资本市场。