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A Lawful Study on Risk Disposition of Securities Company

Author: XueWenLing
Tutor: WuJingMing
School: China University of Political Science
Course: Legal
Keywords: Securities company Risk disposition Supervision Trusteeship Retreat
CLC: D922.287
Type: Master's thesis
Year: 2007
Downloads: 68
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Abstract

Along with the continuous development of the economic financialization and internationalization,capital market,especially securities market has turned out to be a main and indispensably part of a perfect market system.To some extent,a powerful capital market is more important than a powerful banking system.So capital market plays a crucial role in the economic development of a country.As an important part of capital market,securites market also plays a key role in the economic development of a country.The activity of securites market,in terms of overall financial and economic development,is unassailable.China’s securites market has great achievements by overcoming frequent difficulties for over a decade,and plays key roles in terms of resource allocation optimizing,state-owned enterprise reform promoting,as well as the overall economical developing.But the securites market development also results in many problems,for instance,the risk of securities companies were breaking out intensively.In order to maintain the better development of the securites market,the State Council approved China Securities Regulatory Commission to consolidate and control this situation,and the risk disposition is the main issue of this work,which is supposed to be a pathbreaking step in China.Aiming at the nonnegligible risk accumulated in securities companies, the vital questions that have to be putted into consideration by CSRC are: by what means to inhibit and keep away the risk of securities companies,so as to enhance the investment confidence of the investors,and to make best use of financial capacity of the securities market.But at present in China, the relative laws and regulations are too broad-brush in the risk disposition over securities companies,and the they are always lack of systematicness and maneuverability;in addition,there is no specific definition for basic juridical relation and nature in prevailing laws and regulations,despite there are some regulations that came into being during the operational procedure in the risk disposition over securities companies at present,but basically, these methods are always too flexible to solve problems systematically,and there is no systematical and perfect laws and regulations for practical use. So in this paper,I am going to analysis these issues in risk disposition over securities companies,in terms of lawful approach.There are 4 parts in the text of this paper.Part One refers to the general statement of risk disposition issues in securities companies.In this part,based on the signification of risk disposition,together with its necessity and aim,I’ve worked out an all-around analysis on the comparison among risk disposition modes of different companies,as well as a general introduction on the basic theory of risk disposition of securities companies;clarified the relationships among risk disposition of securities companies,securities market supervision,and the retreat of securities companies;clarified the necessity and aim of risk disposition over securities companies,as well as the risk disposition modes of securities companies.Part Two refers to the nomological analysis for risk disposition over securities companies.In this part,based on the legislative authority of risk disposition over securities companies,the main body that participating the risk disposition over securities companies and its obligation,and the legal responsibility of each party that participating the risk disposition over securities companies,combined with the statement of other possible legal issues arising from the procedure of risk disposition over securities companies,I’ve worked out an all-around nomological analysis on the comparison among risk disposition modes of different companies.Part Three refers to the lawful study toward the risk disposition over securities companies.In this part,based on the prevailing system of laws and regulations on risk disposition over securities companies,its procedure and method,I’ve worked out an analysis on some lawful issues of risk disposition over securities companies.Part Four refers to my suggestions about perfecting the risk disposition over securities companies.For the problems and questions about risk disposition mentioned above,I have worked out my suggestions on how to perfect the risk disposition over securities companies,including perfecting laws and regulations about risk disposition over securities companies,carrying out the general adoption of the market principle for governmental supervisions,strengthening the self-discipline and supervision,strengthening the social supervision,carrying out the retreating system of securities companies,as well as the protection system for securities investors,etc.,and in addition,I’ve worked out some lawful suggestions on the disposition of some disputing issues,so as to activate better ideas for perfect solution for the risk disposition over securities companies.

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