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Financial Holdings Group 's related party transactions Supervision Legal System Research

Author: ZhuKai
Tutor: ShiJianZhong
School: China University of Political Science
Course: Economic Law
Keywords: Financial Holding Group Related party transactions Regulatory
CLC: D922.291.91
Type: Master's thesis
Year: 2011
Downloads: 67
Quote: 1
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Abstract


With the international financial integration and development, the financial holding group has become one of the dominant model of the financial mixed change our country by a separate operation to \Establish a financial holding group's fundamental motivation is to use Group Mixed, legal separation of the internal structure of relationship to achieve synergies and to reduce operating costs and increase the overall effectiveness. And the main way to achieve this effect is associated transaction. Meanwhile, the financial holding group related party transactions has two sides, legitimate association in line with the laws of the market trading advantage effect, contrary to the rules of the market related transactions also a huge risk to the financial holding group, and even endanger the security and stability of the financial system . Therefore, the effective monitoring of related party transactions is a key aspect of risk control of the financial holding group. Start from the related party transactions discussions should be the starting point and the theoretical basis of this logic. The first chapter of definition of related party transactions. First, the definition of related party transactions by defining the associated and related party transactions concrete form to the connotation and extension. Second, the regulation of related party transactions motive analysis. Regulatory motivation related transactions is based on a conflict of interest associated with abuse of control damage related companies, the legitimate rights and interests of minority shareholders and other stakeholders. Finally, the regulatory system for related party transactions outlined. In the current legal system, has been formed mainly of general corporate law, securities law, tax law, and other departments, related party transactions regulatory system. The second chapter of this paper defines and analyzes the particularity Financial Holdings Group's related party transactions. First, define and analyze the basic characteristics of this form of organization of the financial holding group. Secondly, the connotation and extension of related party transactions on the financial holding define clearly the specific object of this study. Finally, from the general characteristics and unique features of the two analyzes of the special nature of the related party transactions of a financial holding group. The third chapter is a chapter of the focus of this article. Clear the basic problems of the financial holding group of related party transactions, related party transactions, the financial holding group special regulation and supervision must be discussed. Discusses two aspects of this special risks arising from the financial holding group associated Exchange and regulatory difficulties of the current legal system. The one hand, the financial holding group related party transactions may trigger some special risks, including the more serious conflict of interest, the risk of infection, regulatory arbitrage, market monopoly, as well as the proliferation of financial safety net; the other hand, the current regulatory system is not very good to prevent and resolve these special risks, there are regulatory predicament. Conflict under the objective reality of demand and system supply is insufficient to build and improve the financial holding group of related party transactions regulatory legal system is essential. The fourth chapter the chapter discusses Establishment focus. This chapter, on the basis of foreign advanced legislative experience and system design, improvement and improvement of the existing legal system, and the introduction and build effective foreign regulatory or supervisory regime. First, it should start from the legislative level, the enactment of the Financial Holding Group Management Ordinance in order to guide the regulatory problems of the financial holding group. Second, we should establish the regulatory principles of the financial holding group of related party transactions, including a moderate regulatory principles, independent competition principles, the principle of combination of inside and outside. Finally, specific system constructed from two aspects of internal supervision and external supervision. Internal controls rely more on general corporate law, securities law, commercial banking law department law related party transactions regulatory system, improve corporate governance and internal control system; external regulators rely on unified \regulatory rules under the guidance of the relevant regulatory bodies to establish and improve the system of regulatory coordination and cooperation, capital regulation, information disclosure system, increased responsibilities the system.

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