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Author: GaoLiLi
Tutor: ZhaoWei
School: China University of Political Science
Course: International Law
Keywords: Register Managed Indirectly held mode Interests in Securities Intermediary holds securities entities Convention on the Law
CLC: D996.2
Type: Master's thesis
Year: 2008
Downloads: 134
Quote: 0
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Abstract

Traditional securities held by mode is held directly, but with the international financial markets and securities trading volume increases, as well as the development of computer technology, the securities held by the pattern of fundamental change, such a background, quickly gave birth to the securities indirectly held mode. Indirectly held model has a considerable advantage in improving the efficiency of securities transactions, strengthening risk control capability and the better to prevent and defuse financial market risks; At the same time its legal environment is quite strict, otherwise the financial markets with to the impact and destruction would be more serious. Risk control is the eternal topic of the securities market, and indirectly holds no exception, and the risk of considerable particularity. In order to achieve risk control, national and international legislation have made a considerable attempt, adopted by the United States, Germany and Belgium, as the representative of the national legislation of the indirectly held by the regulation, the Hague on Private International Law Association on the securities held indirectly conflict after the law, the Hague Convention, the most interesting is the \\The Convention will help improve China indirectly holds the legal environment, to accelerate the integration with the international financial markets at the same time we need to do should the Convention on the deep connotation of the terms of the purpose of the legislation to study and achieve The convergence of our existing domestic law with the provisions of the Convention. China's securities held by mode I believe that China's current development of securities markets is the most appropriate choice should be directly held by the main indirectly held supplemented. We can not emphasis on personalized indirectly held by the leading stock market indirectly held by the legal characteristics and risks of the development of China's securities market has not yet reached this level of risk control and improving the legal system can not be ignored while ignoring the existence of radical value, we shall do the research work, through the perfection of the legislation to promote the development of securities market practice. Securities indirectly holds more applications in cross-border securities holding and transaction in the context of international law to lay down rules to monitor this risk is currently paid close attention to the demands of. This article aims to explore the intermediary holding securities of substantive law \indirect holding system, in order to better control the risk of indirectly held and safeguard the entire financial market safety and smooth operation. This article consists of a preamble and three parts of the main content and conclusions, which share the contents of the three chapters of the main part are discussed. The author believes that indirectly holds risk must be held indirectly system understanding, held indirectly held by the multi-storey system to analyze a typical virtual case of the Secretariat of the International Conference in The Hague in order to more clearly discusses in this chapter reference, trying to show a panoramic view of the back of risk analysis and response to lay the foundation for indirectly held. The risk of the securities market has been the focus of the theory of academic research, and how to control risk has become the most important concern of the theory and practice. Indirectly held and has its own unique risk characteristics, the spirit of the spirit to analyze specific issues, the first chapter of the second part of indirectly held by the risk characteristics of the first chapter of this are discussed. The purpose of the research risk in order to control risk, the stones from other hills may serve to polish jade \countries through national legislation and international organizations through the development of the International Covenant on this regulation in the theory and the legal system set up to deal with held indirectly lead to special risks. The second chapter is to discuss international and domestic theory and legislation. The final conception of this article is in the context of indirectly held by the substantive law of the Convention held indirectly improve our system, therefore the third chapter of the indirectly held by arrangement in China's securities legal system and how the realization of China's The convergence method and system of the Convention to make a theoretical argument for China's accession to the Convention.

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