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On Securities Analyst’s Professional Responsibility

Author: YangLei
Tutor: QuMaoHui
School: Hunan University
Course: Civil and Commercial Law
Keywords: Securities analyst Professional responsibility Structure of responsibility The relief and limitation of responsibility The decentralization of responsibility risk
CLC: D912.28
Type: Master's thesis
Year: 2008
Downloads: 151
Quote: 0
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Abstract


Securities analyst is a typical expert, who has the special knowledge and skills in securities investment analysis, qualified by government or vocational self-discipline organization, highly trusted by the public, rewarded for providing securities investment consultation and analysis as an employer in legitimate institution. As the information bridge between listed companies and investors, securities analysts play a key role in guiding reasonable investment for investors, promoting the diaphaneity of securities market, regulating the market operation and optimizing the allocation of social resources. As a new type professional of modern society, Securities analysts not only fit all the characteristics of professional, but also present us some specialties belongs to themselves compared to the traditional experts, for example the working style of opening description, professional influence to the public, particularly occupational idea and the higher standards for professional conducts. Securities analyst’s experts obligation is the basis of his professional responsibilities, which actually is an independent obligation system produced based on the special trust relationship between securities analyst and clients or public. No matter in what occasion including expert service contract or facing to the uncertainly third party, as soon as he provides professional service or delivers expert opinion, the securities analyst has to engage himself to the securities analyst’s expert obligation. Securities analyst’s expert obligation is legal obligation, endowed to have legal effect by correlated code, statute and expert self-discipline criterions, which inherently decides the nature of securities analyst’s professional responsibility as a tort liability. Securities analyst’s professional responsibility is formed by offending conduct to expert obligation, fault, loss and causality, Its imputation principle is doctrine of liability for wrongs, in which the burden of proof will shift to infringer for remedying the client and the third part’s information disadvantage. Generally, the damage caused by securities analyst’s offending behavior is pecuniary loss,accordingly the manner of professional responsibility assumption mainly is pecuniary compensation. The relief of responsibility means someone should not assume or take all the liability in his hand, which caused by tow inspects, lack of fault and exterior disturbance, expressing the negative evaluation from law and moral to professional infringement. Oppositely, limitation of liability is based on the existence of professional responsibility, restricting the degree of liability assumption in the way of quota item, balancing the responsibility assumption and facilitation expert’s working. Although the limitation of securities analyst’s professional liability has the function of burden relief, it doesn’t achieve completed compensation. In practice, the risk decentralized system for securities analyst’s professional responsibility provide us an effective settlement both in legal risk decentralization, transfer, resolve and fully compensation for suffer. Mainly the form is expert liability insurance, but the other method should be adopted, for example the risk fund for securities analyst’s professional responsibility.

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CLC: > Political, legal > Legal > UNIVERSITY > Financial Law
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