| 证券商监管法律制度比较研究 |
| Alternative Title | Comparative Study on the Supervision Legal System of Securities Dealers
|
| 梅云焕 |
| Subtype | 硕士
|
| Thesis Advisor | 余树毅
|
| 2003-05-12
|
| Degree Grantor | 兰州大学
|
| Place of Conferral | 兰州
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| Degree Name | 硕士
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| Keyword | 证券商
监管
法律制度
|
| Abstract | 证券商监管法律制度是证券法的重要组成部分。证券市场的成熟程度不同和市场结构的差异性，使不同国家、地区的证券商监管法律制度呈现出多样性。本文在对各主要国家、地区证券商监管法律制度加以比较研究的基础上，分析了我国证券商监管法律制度的现状与缺陷，并提出完善建议。
文章的主体分为五个部分。
第一部分介绍证券商监管法律制度的基本理论。分析了证券商监管的基本概念，证券商监管的必要性，证券商监管法律制度的目标与监管体制。
第二、三、四部分分别比较了主要国家、地区关于证券商市场准入、行为规范和财务审慎性监管的法律制度，在此基础上分析了我国相关制度的形成、不足，并提出针对性的完善措施。
第五部分对世界各国投资者保护制度加以评介，分析了证券商退出逐步市场化与我国建立投资者保护制度的必要性，并提出立法建议。 |
| Other Abstract | The supervision legal system of securities dealers is one of the most important parts of the securities law, it shows diversity at the different stages and varied structure of the securities market. On the basis of studying the legal system of securities dealers of different countries and areas, the author analyses the supervision legal system about securities dealers in China, and makes some proposal to perfect it.
The body of this thesis consists of five parts.
The first part is concerned about the basic theories. The author discusses the related concepts and necessity of supervising securities dealers, and analyses the goal and models of supervision.
In the second, third and fourth parts, the author studies the supervision legal system about the market admission and actions and financial soundness of securities dealers, on the basis of which the author analyses the defect of our system and makes some constructive proposal.
The last part is about the investor protection system, after introducing the foreign investor systems, the author analyses the importance of setting up this system and puts forwards some suggestion." |
| URL | 查看原文
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| Language | 中文
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| Document Type | 学位论文
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| Identifier | https://ir.lzu.edu.cn/handle/262010/201849
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| Collection | 法学院
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Recommended Citation
GB/T 7714 |
梅云焕. 证券商监管法律制度比较研究[D]. 兰州. 兰州大学,2003.
|
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