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The Conflicts and Their Countermeasures of Asset-management Market’s Legal Regulation

Author: HuDanDan
Tutor: LiuDingHua
School: Hunan University
Course: Economic Law
Keywords: Financial market Legal Regulation Conflict Trust
CLC: D922.28
Type: Master's thesis
Year: 2009
Downloads: 189
Quote: 0
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Abstract


The financial market is formed with the financial institutions to carry out financial business in emerging markets , with mixed industry and innovative features . Conflict of legal regulation of financial market exists is inextricably linked with the conflict between the divided nature of the industry and financial markets of the legal regulation of financial markets mixed . Paul at the end of financial management , market access and financial marketing legal regulation conflicts with a representative , hidden under the regulation conflicts both including regulators will forcibly intervene in the market competition unfair , but also include different normative documents legislative level is different , regulation of merits and refinement of varying degrees . The presence of both is not conducive to the healthy development of the financial market . The legal regulation conflicts hazards determine the need for change . Legal Regulation of the causes of the conflict is a solution to the conflict from the unity of thinking , the harmonization of norms and reform regulatory aspects . The unity of thinking that is clear to the basic principles of the regulation of the financial market law , including the principle of protection of interests of the client , the principle of equitable regulation and modest regulatory principles . Unified norms that develop legal norms applicable to all financial institutions, financial management , and high level of effectiveness , including unified financial management law fiduciary relationship , as poor than to raise the standard of regulation , clearly fiduciary trust obligations of financial institutions , the introduction of market rating system and the establishment of the client protection fund system . Reform regulatory stressed the gradual transition to the function of regulatory authorities to monitor . This is mainly based on financial market supervision as part of financial regulation , the realization of its functional supervision must be placed under the background of the entire financial regulatory functional supervision . Therefore , the current financial market regulators should focus on improving the institutions under the supervision of the coordination mechanism , combined with the further development of financial markets and financial supervision in the future , to take the general trend of the functional regulatory system , functional regulation of the financial markets is bound to achieve legal the regulatory conflict also been fundamentally resolved.

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CLC: > Political, legal > Legal > Chinese law > Financial Law
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