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Bank for selling investment products improve the regulatory legal system

Author: YuXiao
Tutor: HeShaoQi
School: China University of Political Science
Course: Legal
Keywords: Bank Trust Sell Investor Protection
CLC: F832.49
Type: Master's thesis
Year: 2011
Downloads: 130
Quote: 0
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Abstract


In this paper, bank trust products sales agents, for example, to \I found that banks trust products sales agents, there are the following three questions, a sales agent bank for lack of prudence duty of trust products, the other is qualified investors suitability assessment system is not perfect, the last one is a bank trust products imperfect information disclosure obligations. Based on the above analysis and elaboration of the three questions, and finally put forward a sound bank for selling trust products investor protection recommendations. This total is divided into three chapters. The first chapter, bank sales agent trust product overview, the chapter from the bank for selling the concept and role of trust products, bank-trust cooperation trust products in the sales model, standardized banking system of trust products sales agent tripartite face sales agent Trust Bank conducted a general exposition. Chapter II, bank trust products sales agent problems of investor protection, the author through bank trust products sales agent judicial practice and related theoretical study found that banks in the bank trust products sales agent sales agent trust products for lack of prudence note obligation to qualified investors suitability assessment system is not perfect, bank trust products imperfect information disclosure obligations three questions. Chapter revolve around these three issues discussed were discussed: bank trust products sales agent prudential duty of care ought to state, real natural state, perfect necessity; qualified investors suitability assessment system should However, the state, the Real state, perfect necessity; bank information disclosure obligations trust products Ought, real natural state, perfect necessity; Chapter, improve sales agent bank trust products investor protection recommendations By the author of bank trust products sales agent problem, this paper proposes to build the bank trust products from prudential duty of care, building suitability assessment system provides perfect qualified investors, bank trust products improve the information disclosure obligations perfect three banks Investor Protection Trust products sales agents regulatory regime. Based on the bank for selling trust products related systems, theory and practice of research, found a bank trust products sales agent in the presence of typical problems, and its theoretical study and practical research aimed at analyzing bank trust products sales agent investor protection regulatory system problems, around corners, and hope that through sales agents put forward a sound banking regulatory system of investor protection trust product recommendations on improving the bank for selling investment products regulatory regime has a reference.

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