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目次一、通过司法互助协定进行双边监管合作与协调二、通过谅解合作备忘录进行双边监管合作与协调三、实证研究:内地香港证券监管的合作与协调上世纪70年代初以来,随着各国金融管制的放松、资产选择理论在国际范围的运用,以及金融市场国际化趋势的加强,证券市场国际化也迅猛发展。然而,证券市场国际化的同时也带来了如何对跨境证券融资和投资活动的监管问题,为此,世界各国(地区)和有关国际组织进行了双边、多边监管合作与协调的探索。本文拟对国际证券双边监管合作与协调做一初步研究。
I. Tariff Bilateral Cooperation and Coordination through Mutual Legal Assistance Agreements Bilateral Regulatory Cooperation and Coordination through Memorandum of Understanding and Cooperation III. Empirical Study: Cooperation and Coordination between Securities Regulatory and Hong Kong Stock Exchanges in the Mainland Since the early 1970s, as the financial controls in various countries , The application of the theory of asset selection in the international community and the trend of internationalization of financial markets have strengthened and the internationalization of the securities market has also developed rapidly. However, the internationalization of the securities market also brings about how to regulate the cross-border securities financing and investment activities. Therefore, all countries and regions in the world and relevant international organizations have conducted exploration on bilateral and multilateral regulatory cooperation and coordination. This article intends to conduct a preliminary study on the bilateral supervision and coordination of international securities.