本文關(guān)鍵詞：我國證券市場投資者適當(dāng)性制度研究　出處：《西南政法大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 證券市場 投資者權(quán)利保護(hù) 投資者適當(dāng)性制度

【摘要】：投資者適當(dāng)性制度肇始于美國，現(xiàn)已發(fā)展為投資者保護(hù)制度的重要基石之一，在域外成熟的證券資本市場也是規(guī)范投資者和證券公司之間權(quán)利和義務(wù)關(guān)系必不可少的內(nèi)容。隨著我國多層次資本市場體系的構(gòu)建，我國立法和證券監(jiān)管機(jī)構(gòu)已經(jīng)在有關(guān)法規(guī)、行政規(guī)章和自律性規(guī)范中對投資者適當(dāng)性制度進(jìn)行了初步規(guī)定，但比較粗糙和簡陋，尚未觸及到投資者適當(dāng)性制度的核心。有鑒于此，本文立足于我國證券市場的實(shí)際，在系統(tǒng)梳理和分析域外成熟資本市場經(jīng)驗(yàn)的基礎(chǔ)上，審視和反思我國的投資者適當(dāng)性制度的缺陷和不足并提出完善我國證券市場投資者適當(dāng)性制度的路徑構(gòu)想。本文分五個部分： 第一部分是投資者適當(dāng)性制度的理論概述。此部分界定了投資者適當(dāng)性制度的概念，在定義的基礎(chǔ)上提煉出投資者適當(dāng)性制度的內(nèi)涵。此外，介紹了投資者適當(dāng)性制度在我國的源起和發(fā)展，具體涉及基金領(lǐng)域、銀行業(yè)領(lǐng)域、信托領(lǐng)域、創(chuàng)業(yè)板市場領(lǐng)域以及股指期貨市場領(lǐng)域的投資者適當(dāng)性。 第二部分是投資者適當(dāng)性制度的理論基礎(chǔ)。闡釋了投資者適當(dāng)性制度的經(jīng)濟(jì)學(xué)基礎(chǔ)、倫理學(xué)基礎(chǔ)、社會學(xué)基礎(chǔ)以及法理學(xué)基礎(chǔ)。 第三部分是投資者適當(dāng)性制度的主要內(nèi)容。此部分結(jié)合中國實(shí)踐，以比較法視角，介紹說明了國外投資者適當(dāng)性制度里較有特色的內(nèi)容，，包括投資者適當(dāng)性制度的適用范圍、考慮因素、適當(dāng)性義務(wù)的履行、內(nèi)部管控機(jī)制以及適當(dāng)性義務(wù)的免除情形。 第四部分是對我國投資者適當(dāng)性制度的審視和反思。此部分在審視了我國投資者適當(dāng)性制度現(xiàn)狀之后從立法和司法上反思了當(dāng)前我國投資者保護(hù)制度尚存的欠缺和不足之處。 第五部分是完善我國投資者適當(dāng)性制度的路徑構(gòu)想。具體內(nèi)容涵蓋提升投資者適當(dāng)性原則的法律效力層級、引入投資者分類制度、引入投資者適當(dāng)性免除義務(wù)、明確違反投資者適當(dāng)性義務(wù)的民事責(zé)任、優(yōu)化我國的證券市場監(jiān)督、完善投資者適當(dāng)性制度的爭議解決機(jī)制及相關(guān)的配套機(jī)制。
[Abstract]:The system of investor appropriateness originated from the United States and has developed into one of the important cornerstones of investor protection system. The mature securities capital market is also necessary to regulate the relationship between investors and securities companies. With the construction of multi-level capital market system in China. China's legislation and securities regulatory bodies in the relevant laws and regulations, administrative regulations and self-regulation of the system of suitability of investors have been preliminary provisions, but relatively rough and simple. In view of this, this paper based on the reality of our country's securities market, on the basis of systematically combing and analyzing the experience of foreign mature capital market. This paper examines and reflects on the defects and shortcomings of the investors' appropriateness system in our country and puts forward the path of perfecting the investors' suitability system in China's securities market. This paper is divided into five parts: The first part is an overview of the theory of investor appropriateness system. This part defines the concept of investor appropriateness system and extracts the connotation of investor appropriateness system on the basis of the definition. This paper introduces the origin and development of investor suitability system in China, including fund field, banking field, trust field, gem market and stock index futures market. The second part is the theoretical basis of investor appropriateness system, which explains the economic basis, ethical basis, sociological basis and jurisprudence foundation of investor appropriateness system. The third part is the main content of the investor appropriateness system. This part combines with the Chinese practice and introduces the characteristic contents of the foreign investor appropriateness system from the perspective of comparative law. It includes the scope of application of the system of investor appropriateness, the factors of consideration, the fulfillment of the obligation of appropriateness, the mechanism of internal control and the exemption of the obligation of appropriateness. Part 4th is an examination and reflection on the system of investor appropriateness in our country. After examining the present situation of the system of investor propriety in our country, this part reflects on the remaining defects of the current investor protection system in our country from the legislative and judicial aspects. Shortcomings and inadequacies. The 5th part is the path conception to perfect the system of investor appropriateness in our country. The concrete content covers the level of legal effect to promote the principle of investor appropriateness, and introduces the investor classification system. This paper introduces the exemption of investor appropriateness, clarifies the civil liability for violating investor propriety obligation, optimizes the supervision of China's securities market, and consummates the dispute resolution mechanism and related supporting mechanism of investor appropriateness system.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：F832.51;D922.287

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