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The Research on the Securities Broker System

Author: ZhaoZuoXiang
Tutor: ZhouYi
School: Jilin University of Finance and Economics
Course: Economic Law
Keywords: Securities broker system Securities broker Securities companies Legal norms
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 57
Quote: 0
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Abstract


China 's securities brokerage market and intensifying competition , securities brokers become an important part of China 's securities brokerage market . But only on the legal personality of the securities broker in China \On April 13, 2009 , the Securities broker management Interim Provisions \Securities broker qualification certificate , code of conduct , equity , legal status and so has been clearly defined . The promulgation and implementation of this provision is to establish the legal basis for the specification and development of China 's securities brokerage industry . But any law has its lag , such as securities brokers threshold is too low , non-standard personal conduct , poor credit , limited too little for the formation of the joint and several liability , the punishment is not serious violation of the securities broker , appear vicious competition and other issues , which will not only securities companies and investors have some damage , but also seriously disturbed the order of the securities market . In addition , the relative securities companies , securities brokers vulnerable groups. The same lack of protection of the interests of the securities broker , securities broker 's own right but also an urgent need to put the appropriate legal norms to be protected . This article main body is divided into four main parts : the first part leads to a securities broker system and summarized by a securities broker , including securities the broker definition and Securities broker system definition , analysis ; second part is through the comparison and analysis legal background and development of the introduction of foreign securities broker system ; the third part is the practice of the present system for the domestic securities brokers , summarize the main problems in the system of domestic securities brokers ; fourth part by securities broker system actually problems of the relevance and feasibility of the perfect proposal . The innovation of this paper is to be able to analyze , summarize Overview and cf at home and abroad , as well as specific practical problems and the standardized studies need legal protection . Eventually create orderly development of China 's securities brokerage market , a good legal environment for the healthy development of the securities broker .

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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