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首页> 外文期刊>Journal of Investment Compliance >Cross-border access to US investors: some recent proposals
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Cross-border access to US investors: some recent proposals

机译：跨境接触美国投资者：最近的一些建议

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Purpose – The purpose of this article is to analyze and draw conclusions from recent SEC staff proposals and commissioners' comments and a recent roundtable discussion concerning access to foreign exchanges and broker-dealers by US investors. Design/methodology/approach – The paper summarizes a proposal by Erik Sirri, Director of the SEC Division of Market Regulation; a proposal by Ethiopis Tafara and Robert J. Peterson, respectively, the Director of the SEC Office of International Affairs and its Senior Counsel; and comments in speeches by Commissioners Roel Campos, Paul Atkins, and Annette Nazareth; and draws conclusions regarding the SEC's current efforts to develop and articulate a strategic approach to mutual recognition. Findings – As the securities market becomes globalized, there is a growing interest among US investors for foreign securities and for more direct access to foreign broker-dealers and exchanges. The SEC is determined to remain in the forefront among US government agencies on securities exchange mutual recognition issues, and therefore is pursuing an accelerated agenda to address these issues. The SEC sees its role as not only to function as a bulwark for the protection of US investors but also to take constructive, affirmative steps that serve to strengthen the US capital markets. While the SEC has historically been an advocate for the global convergence of national regulatory standards, it is now considering proposals for a country-by-country bilateral approach based upon cooperation among regulators with substantively comparable regulatory regimes. Originality/value – This paper presents a useful analysis of the direction the SEC is likely to take on the mutual recognition issue by an experienced securities lawyer.
机译：目的–本文的目的是分析和总结SEC最近的工作人员提议和专员的评论，以及最近有关美国投资者获得外汇和经纪交易商机会的圆桌讨论。设计/方法/方法–本文总结了SEC市场监管部总监Erik Sirri的建议； SEC国际事务办公室主任兼高级法律顾问Ethiopis Tafara和Robert J. Peterson的提案；以及Roel Campos委员，Paul Atkins委员和Annette Nazareth委员在讲话中的评论；并就SEC当前为制定和阐明一种相互承认的战略方法所做的努力得出结论。调查结果–随着证券市场的全球化，美国投资者对外国证券以及更直接地接触外国经纪-交易商和交易所的兴趣与日俱增。 SEC决心在证券交易相互承认问题上保持美国政府机构的领先地位，因此正寻求加快解决这些问题的议程。 SEC认为，它的作用不仅是保护美国投资者的堡垒，而且还采取建设性，积极的步骤来加强美国资本市场。尽管SEC历史上一直倡导在全球范围内整合国家监管标准，但现在正在考虑基于监管机构与具有实质可比性的监管制度之间的合作，提出一种针对每个国家的双边方法的建议。独创性/价值–本文对经验丰富的证券律师对SEC在相互承认问题上可能采取的方向进行了有益的分析。

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