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Securities laws and the relationship between the identified standard

Author: LiuDongXia
Tutor: LiuShaoJun
School: China University of Political Science
Course: Legal
Keywords: Securities law relationship Standards for Determining Invest in the contractual relationship Property investment relations Transaction brokerage relationship Transaction clearing relationships Investment Protection relations Market regulators relations
CLC: D922.287
Type: Master's thesis
Year: 2009
Downloads: 69
Quote: 0
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Abstract


Securities laws and relations correctly identified for a clear legal relationship between the main rod and obligations, to maintain the stability and efficiency of securities markets has important theoretical and practical significance, however, the identification of the securities law relationship is a controversial issue in academia, and the Securities Act there is no clear provisions of securities laws and the relationship between content and relationship of various securities laws that standard. This article securities laws and the relationship between the relationship between investment contracts, property investor relations, transaction brokerage relationship, transaction clearing between the relationship of investment protection and market regulators relations, this paper aims to be addressed to the recognized standards of the legal relationship of the aforementioned six kinds of securities. The first section introduces the relationship between types of investment contracts, the process of the establishment, the establishment of the investment contract and entry into force, and thus concluded that the relevant provisions of the investment contract between the identification process should be based on \Part II discusses the relationship between the two main forms of property investment equity investment relations and debt investment relationship that should be the identification of the property investment relations to investors the legality of holding securities as a standard; the third part of the securities transaction brokerage relationship to distinguish between different identified stage to set up a fiduciary relationship, the investment in the securities company to open a securities account and capital account, investors and securities companies, securities companies to accept instructions deal of investment in the transaction, the two sides set up a proxy relations; Part IV, respectively, the transaction liquidation of the relationship between the two levels, namely the settlement of relations between the central securities depository and clearing institutions and participants, as well as the settlement between the participants and their customers relationship, and thus identified should be the standard for transaction clearing relationship, clearing in a particular subject ; Part V introduces the protection system of the Securities Act provided for the investors and securities violations, liability, and thus concluded that the identification of standards of investment protection between along with investment protection system and securities violations of the law The responsibility of two conditions; Part VI of the market as defined by the discourse of the \laws and regulations. Finally, in the epilogue that standard securities law relationship to the Summary and Conclusion.

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CLC: > Political, legal > Legal > Chinese law > Financial Law > Securities and Management Act
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