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Of Securities Investor Protection Fund System

Author: ZhangWei
Tutor: LiRong
School: Central University for Nationalities
Course: Economic Law
Keywords: Securities investor protection fund legal system operation mechanism legislation
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 91
Quote: 1
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Abstract


Securities investor protection fund legal system is an important component of the securities investor protection system. It has a significant effect in protecting investors and maintaining financial stability. In 2005, China issued "Administrative Measures for Securities Investor Protection Fund", in which the securities investor protection fund legal system was established. But there are still many problems in the securities investor protection fund legal system and there is a considerable gap between China and those developed countries and regions in many aspects like regulations, supervision, experience, etc. Besides, the application of the securities investor protection fund legal system in China is just a first-aid measure for the risk of stock market. Therefore, an efficient method to improve the securities investor protection fund legal system is to study the basic problems of the system and learn advanced experience from foreign countries.Based on the research of the basic problems of the securities investor protection fund legal system and the analysis of the successful experiences of developed countries, this paper puts forward some proposals in two aspects of operating mechanisms and legislation.The text of paper is divided into three parts.In the first part, I try to expound and discuss the basic theory of investor protection, the concept and nature of securities investor protection fund, the emergence and development background of the securities investor protection system, particularly the essential idea and function of the securities investor protection fund system. This part provides a logical starting point for thinking and analysis as well as providing a sound theoretical basis for the construction and perfection of the securities investor protection fund system.In the second part, based on the research of the securities investor protection fund system of those countries with developed securities markets and the reform and development background of the securities market, I expound current situation of the operating mechanism of China’s securities investor protection fund system. Combining with the basic concept and function of China’s securities investor protection fund system, I further put forward suggestions in organization management, funding sources, compensation mechanism, supervision, investor education and investor rights protection of the operation mechanism.In the third part, I conduct a comprehensive study of foreign-related legislation patterns and legislative trends and China’s current legislative system of the securities investor protection fund system. Based on the analysis of relevant legislation of China, I give suggestions on the legislative structure and legislative content of securities investor protection fund system.

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