本文選題：投資者　切入點(diǎn)：證券市場(chǎng)　出處：《河北大學(xué)》2016年碩士論文　論文類(lèi)型：學(xué)位論文

【摘要】：證券投資者是證券市場(chǎng)各項(xiàng)活動(dòng)的重要主體,是證券交易的參與者。沒(méi)有投資者就沒(méi)有證券市場(chǎng)。在證券市場(chǎng)中,投資者尤其是中小投資者往往處于劣勢(shì)地位,他們資金實(shí)力弱、個(gè)體松散,很難切實(shí)有效維護(hù)地自己的合法權(quán)益。作為整個(gè)市場(chǎng)存在的基礎(chǔ),中小投資者的權(quán)益能否得到良好維護(hù)決定著證券市場(chǎng)繁榮與否,證券市場(chǎng)的繁榮發(fā)展則對(duì)國(guó)家經(jīng)濟(jì)健康快速發(fā)展產(chǎn)生著極為深遠(yuǎn)的作用。因而,保護(hù)投資者的權(quán)益是一個(gè)關(guān)系到證券市場(chǎng)發(fā)展的突出任務(wù)。作為一個(gè)新興市場(chǎng),我國(guó)在證券投資者保護(hù)方面仍有諸多不足,存在著內(nèi)幕交易、證券價(jià)格操縱、非法信息披露等一系列的問(wèn)題,在缺少足夠的法律保護(hù)機(jī)制的情況下,投資者很容易受到非法侵權(quán)進(jìn)而導(dǎo)致投資損失。這必然會(huì)對(duì)證券市場(chǎng)發(fā)展產(chǎn)生負(fù)面影響,傷害投資者信心。我們有必要對(duì)這些問(wèn)題進(jìn)行研究,并完善投資者權(quán)益保護(hù)相關(guān)法律機(jī)制。本文首先針對(duì)證券市場(chǎng)、投資者權(quán)益保護(hù)的相關(guān)概念進(jìn)行分析,闡述證券市場(chǎng)概念、證券市場(chǎng)與投資者關(guān)系、投資者權(quán)益保護(hù)的法律理念及其意義,說(shuō)明保護(hù)投資者權(quán)益對(duì)發(fā)揮證券市場(chǎng)作用、促進(jìn)市場(chǎng)經(jīng)濟(jì)發(fā)展、維護(hù)社會(huì)穩(wěn)定的重要性。第三章通過(guò)對(duì)我國(guó)以及美國(guó)、日本等國(guó)家證券投資者權(quán)益保護(hù)制度進(jìn)行對(duì)比分析,介紹了其他國(guó)家的經(jīng)驗(yàn)做法,根據(jù)我國(guó)證券市場(chǎng)實(shí)際情況,提出可供我國(guó)參考的意見(jiàn)建議。第四章介紹我國(guó)證券投資者受到的侵權(quán)現(xiàn)狀與相關(guān)法律制度的不足,從知情權(quán)、表決權(quán)、紅利發(fā)放、關(guān)聯(lián)交易、信息披露、監(jiān)管體制、民事制度、訴訟和司法救濟(jì)等方面對(duì)證券投資者權(quán)益保護(hù)進(jìn)行分析,尋找我國(guó)證券投資者權(quán)益保護(hù)問(wèn)題的關(guān)鍵。第五章中,通過(guò)分析前文中提出的各個(gè)問(wèn)題,結(jié)合域外市場(chǎng)成功經(jīng)驗(yàn),從完善制度法規(guī)、公司治理、強(qiáng)化監(jiān)管、權(quán)益救濟(jì)、退市制制和其他相關(guān)機(jī)制等方面,提出完善我國(guó)證券投資者權(quán)益保護(hù)的建議。
[Abstract]:The securities investors are the main body of all kinds of activities in the securities market and the participants in the securities trading. There is no securities market without the investors. In the securities market, the investors, especially the small and medium-sized investors, are often in a disadvantaged position. Their weak capital strength and loose individuals make it difficult to effectively safeguard their legitimate rights and interests. As the basis for the existence of the entire market, whether the rights and interests of small and medium-sized investors are well maintained determines whether the securities market is prosperous or not. The prosperity and development of the securities market has a far-reaching effect on the healthy and rapid development of the national economy. Therefore, protecting the rights and interests of investors is a prominent task related to the development of the securities market. In China, there are still many shortcomings in the protection of securities investors, such as insider trading, securities price manipulation, illegal information disclosure and so on. In the absence of adequate legal protection mechanism, Investors are vulnerable to illegal infringement and loss of investment. This will inevitably have a negative impact on the development of the securities market and damage investor confidence. We need to study these issues. Firstly, this paper analyzes the relevant concepts of the securities market and investor's rights protection, expounds the concept of the securities market, the relationship between the securities market and the investors, and improves the legal mechanism of the protection of investors' rights and interests. The legal concept and significance of investor's rights and interests protection shows the importance of protecting investors' rights and interests to bring into play the role of securities market, to promote the development of market economy and to maintain social stability. This paper makes a comparative analysis on the protection system of the rights and interests of securities investors in Japan and other countries, introduces the experiences and practices of other countries, and according to the actual situation of China's securities market, Chapter 4th introduces the current situation of infringement of securities investors in China and the deficiencies of relevant legal systems, from the right to know, the right to vote, the distribution of dividends, related transactions, information disclosure, and regulatory system. The civil system, litigation and judicial remedies are analyzed to find the key to the protection of the rights and interests of securities investors in China. Chapter 5th, through the analysis of the above mentioned issues, Based on the successful experience of the foreign market, this paper puts forward some suggestions on perfecting the protection of the rights and interests of Chinese securities investors from the aspects of perfecting the system and regulations, corporate governance, strengthening supervision, rights and interests relief, delisting system and other related mechanisms.
【學(xué)位授予單位】：河北大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2016
【分類(lèi)號(hào)】：D922.287
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本文編號(hào)：1603315