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On the financial holding company's internal risk prevention related transactions legal mechanism

Author: XieRenHong
Tutor: HeShaoQi
School: China University of Political Science
Course: Legal
Keywords: Financial holding company Internal related transactions Conflict of Interest Risk prevention
CLC: D922.28
Type: Master's thesis
Year: 2011
Downloads: 118
Quote: 0
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Abstract


With China's accession to the WTO and the International Financial integration trend becomes more obvious, a financial holding company that operates comprehensive financial model of development in the country has actually produced and quickly spread. With the attendant financial holding company is its internal problems related party transactions , the financial holding company , through its related party transactions between the internal mechanism can reduce transaction costs , reduce transaction risks , and enhance its profitability and competitiveness . Meanwhile , the internal related transactions can also maximize the financial sector to play a financial holding company 's consolidated operating synergies , economies of scale and scope to strengthen its economic utility . However, the financial holding company within the related party transactions favorable despite its positive side, but because it also has a corporate governance structure, the information disclosure system inadequate or lack of external regulatory and other reasons, a financial holding company within the related party transactions between member institutions also will bring many risks , these risks if you can not get timely and effective control, not only will bring damage to the financial holding company itself , even when serious external market economy may even entire countries have immeasurable impact on economic security . We develop the country in the current market economy , strengthen the economy sustained, healthy and safe development in the context of how to effectively regulate the financial holding company and its internal related party transactions , reducing the maximum financial holding company within the risks associated with transactions , building a scientific and reasonable legal mechanisms related to risk prevention is particularly urgent and important. Article discusses the financial holding company within the member institutions related transactions legal risk prevention mechanism build issues . First, the financial holding company and its related party transactions within the general theory and practice to start, the financial holding company and its related party transactions within the concept , types and characteristics of the basic theory of legal issues to do a brief description , and through specific data and case studies China's current financial holding company and its internal status of related party transactions ; Secondly , the article squarely related transactions within the financial holding company has its positive beneficial effect in the premise of the theory and practice of the various risks that may arise , as discussed below, our financial holding company within the related party transactions among member agencies to build the necessary risk prevention mechanism foreshadowed ; again , the article cited the EU, the U.S. and Taiwan of China and other financial integrated business model development has been relatively mature countries or regions risk prevention legal systems , comparative studies , summarized worth our reference of relevant experience , in order for our financial holding company related transaction risk prevention control to provide a reference ; Finally , the article for the corresponding problem in fully learn the relevant extraterritorial basis of experience , according to the China's current lack of relevant norms and institutions , propose appropriate legal mechanisms of sound risk prevention recommendations , making China's financial holding company and its related party transactions within the law, to keep norms and the rule of law towards goal.

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CLC: > Political, legal > Legal > Chinese law > Financial Law
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