증권시장과 자율규제 = Study on the securities market and self regulation

다국어 초록 (Multilingual Abstract)

Regulation of Securities Market is divided into regulation by law and self regulation. In Korea, KSE(Korea Securities Exchange) and KSDA(Korea Securities Dealers Association) perform his part of self regulatory organization. Currently, Korea Securities Market is going on both integration of KSE-Kosdaq Market-Kofex(Korea Futures Exchange) and demutualization of Exchange.
By the way, in spite of demutualization of Exchange, Korea Securities Futures Exchange Act(2004) provide that KSFE(Korea Securities Futures Exchange) take charge of self regulation in Securities-Futures Market. And the act porvide that securities dispute mediation is executed by KSFE and KSDA.
Stock watch of KSFE and Securities dispute mediation by two Self Regulatory Organization is anxious about a conflict of interests, duplication of regulation, unefficiency in self mediation of securities dispute. For advance of securities market regulation, it is necessary to pormote efficiency of self regulation by settlement of the same problems.

목차 (Table of Contents)

• Ⅰ. 서 론
• Ⅱ. 우리나라 증권시장 규제체계
• Ⅲ. 해외 증권시장의 자율규제
• Ⅳ. 증권시장 자율규제 효율화를 위한 제언
• Ⅴ. 결 론
• 참 고 문 헌
• 【ABSTRACT】

참고문헌 (Reference)

1 "증권시장 규제체계의 선진화방안" 증권거래소 1998

2 "주요국의 주식시장제도" 2002

3 "자율규제기관의 역할제고" 한국증권업협회 (110) : 2002

4 "이증권분쟁조정제도의 현황과 과제" 2003

5 "우리나라 자본시장과 은행의 균형적 발전 필요성" 한국증권연구원

6 "금융유관기관 기능 활성화:자율규제기능 확대" 한국개발연구원 2000

7 "거래소 주식회사화-한국주식시장에의 적용" 한국증권연구원 2003

8 "裁判外紛爭處理制度の構築と問題點" 財團法人日本證券經濟硏究所證券取引法硏究會 2003

9 "英金融サ-ビス機構はリバイアサン(怪物)か(上,下)" 41 (41): 2001

10 "自主規制機能の分離, 統合論-SIAの自主規制モデル案" (1601) : 2001

11 "市場間競爭と自主規制の在り方-證券市場規制を素材に" (318) : 2000

12 "取引所の自主規制機能について" (1600) : 2001

13 "Issuer Paper on Exchange Demutualization, Report of the Technical Committee of the International Organization of Securities Commission" IOSCO 2001

14 "IOSCO Objectives and Principles of Securities Regulation" IOSCO 1998

15 "Demutualization and Corporate Governance of Stock Exchanges" 2002