Nguyên tắc đánh giá minh bạch về cơ quan quản lý và hoạt động cưỡng chế thực thi

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Tác giả: Nguyễn Thùy Linh

Ngôn ngữ: Vie

Ký hiệu phân loại:

Thông tin xuất bản: Chứng khoán Việt Nam 2023

Mô tả vật lý: 24-27

Bộ sưu tập: Metadata

ID: 398734

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Tóm tắt
Chủ đề

Cơ quan quản lý (CQQL) luôn chú trọng đến xây dựng khuôn khổ pháp lý về chứng khoán và thị trường chứng khoán (TTCK) nhằm hướng tới ba mục tiêu cốt lõi là bảo vệ nhà đầu tư, đảm bảo thị trường công bằng, hiệu quả, minh bạch và giảm rủi ro hệ thống.Ba mục tiêu này có liên quan chặt chẽ với nhau, đảm bảo thị trường công bằng, hiệu quả và minh bạch giúp bảo vệ nhà đầu tư và giảm rủi ro hệ thống. Các biện pháp làm giảm rủi ro hệ thống giúp bảo vệ thị trường và bảo vệ các nhà đầu tư. Các CQQL tìm cách đạt được những mục tiêu này thông qua việc thiết lập các tiêu chuẩn, tiêu chí giám sát đối với các bên tham gia thị trường, thực thi hiệu quả các tiêu chuẩn, quy định. Tuy nhiên, quy định không phù hợp có thể tạo ra gánh nặng phi lý cho thị trường, cản trở sự tăng trưởng và phát triển của thị trường và ở một số khía cạnh có thể chồng chéo lên nhau. Trong khuôn khổ bài viết, các nguyên tắc được đề cập trên cơ sở đảm bảo thực hiện đúng các chức năng, thực thi hiệu quả chức năng giám sát và cưỡng chế thực thi của CQQL., Tóm tắt tiếng anh, The regulatory agency (CQQL) always focuses on building a legal framework on securities and the securities market (SSC) aiming at three core goals of protecting investors, ensuring a fair market, efficiency, transparency, and reduction of systemic risk. These three goals are closely related, ensuring fair, efficient and transparent markets that help protect investors and reduce systemic risk. Measures to reduce systemic risk help protect the market and protect investors. Management agencies seek to achieve these goals through the establishment of standards, monitoring criteria for market participants, and effective enforcement of standards and regulations. However, improper regulation can place undue burden on the market, impede market growth and development, and in some respects may overlap. In the framework of the article, the principles are mentioned on the basis of ensuring the correct implementation of functions, effectively implementing the supervision and enforcement functions of the management agency.

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