On the Intervention of Stock Exchanges in OTC Business
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摘要: 场内市场与场外市场存在诸多不同。随着科技的发展,为了便于监管和防范风险,场外业务场内化逐渐成为一种趋势;但是,并非所有的场外业务都适合场内交易,只有标准化程度较高的场外业务才适合场内化。证券交易所在制定有关业务规则时,既要尊重市场主体的意思自治,又要有限地介入场外业务,防范业务风险,保护投资者利益。Abstract: Differences exist between the exchange market and the OTC market.To facilitate regulation and risk prevention, the advancement in science and technology is increasingly bringing the OTC business into the exchange market.However, not all OTC business is proper for floor trading, except the highly standardized.In formulating business rules, stock exchanges should take the positions of market players into account in their self-governance and measure the involvement in OTC business, in order to guard against business risks and ensure the interests of the investing public.
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Key words:
- stock exchange /
- exchange market /
- OTC market
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