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信用评级机构发挥着金融市场的“守门人”的角色。评级机构长期以来凭借其“声誉资本”对外表彰诚信规范形象和内部自律机制有效性。但信用危机事件的频频发生引起理论反思,加强对评级机构诚信规范外部监管成为立法趋势。通过对美国评级机构注册审查制度、防止利益冲突制度、强制信息披露制度的考察,提出我国加强评级机构诚信规范外部监管的建议。
Credit rating agencies play a “gatekeeper” role in financial markets. Ratings agencies have long been relying on its “reputation capital ” external recognition of good faith image and the effectiveness of internal self-regulation mechanism. However, the frequent occurrence of credit crisis has aroused theoretical reflection, and strengthening the integrity supervision of rating agencies has become the legislative trend. By examining the registration and examination system of U.S. rating agencies, preventing conflict of interest and compulsory information disclosure system, this paper puts forward some suggestions on how to strengthen the external regulation of credit rating agencies in our country.