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On the System of China's securities investment consulting Defects and Perfection

Author: LiXue
Tutor: WangGuangJin
School: China University of Political Science
Course: Civil and Commercial Law
Keywords: Securities Investment Consulting Deficiencies in the system Suggestions for Improvement
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 258
Quote: 1
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Abstract


Securities investment consulting in China has experienced nearly two decades of development, has begun to take shape and gradually improved, but there are still many problems: on the one hand, \investor confidence and interest; On the other hand, securities investment consulting agencies narrow scope of business, the lack of profitability of the entire industry complain incessantly. Resulting in the expansion of the securities market securities investment consulting information supply and increase market transparency and efficiency, standardize the operation, and guide rational investment and other aspects of play almost no role, so that in 2005, \discuss whether their exclusion. In practice the existence of a large number of issues, reflecting the securities investment advisory positive development in our country there are many possible reasons, securities investment advisory system set unreasonable that is the most important one. Therefore, this article will present a detailed analysis of the legal system in China under the securities investment consulting defects, introducing foreign mature markets on the basis of legislative experience, learn proven system and make suggestions for improvement in order to achieve perfect China's securities investment advisory system, and promoting securities investment consulting industry, the purpose of protecting the interests of investors. In addition to the introduction, conclusion, this paper is divided into four main parts: The first part is the development of China's securities investment consulting to analyze the situation that existed in practice elaborated securities investment consulting institutions are facing a crisis of survival, often damaged the interests of investors. \lose-lose \Discusses this phenomenon, although multiple factors, including the development of securities markets mature, serious psychological speculation investors, regulators slack, etc., but the most important reason is that China's securities investment advisory system set unreasonable. The second part is on China's securities investment advisory discusses the specific deficiencies in the system. Combined with China on Securities Investment Consulting's existing laws and regulations and industry self-regulatory requirements, demonstration system of China's securities investment consulting to define and regulate the body imperfections exist, the business scope narrow and too restrictive provisions of the basic obligations of rough and poor operability, regulatory framework lack of hierarchy and failed to achieve full legal responsibility Relief investors who punish illegal action and other defects. The third part is foreign (region) securities investment advisory system of investigation, including the United States, Japan and Taiwan of China. This paper briefly introduces foreign (region) securities investment advisory legislation, and its proven system specific analysis, such as hierarchical regulate investment advisers, \China's securities investment consulting institutional issues reference. The fourth part is the analysis of the deficiencies in the system securities investment advisory and legislative experience from abroad on the basis of recommendations to improve the system of securities investment consultation proposals, including amendments to existing laws, classification norms securities investment advisory body, the addition of the \system, improve the \

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