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Certain related party transactions within the financial holding company Legal Issues

Author: ZhangHe
Tutor: LiDongFang
School: China University of Political Science
Course: Economic Law
Keywords: financial holding company affiliated enterprise affiliated transaction inside the financial company
CLC: D912.28
Type: Master's thesis
Year: 2005
Downloads: 275
Quote: 7
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Abstract


Being one kind of innovation in financial organizations, the Financial Holding Company (FHC) has become an important mode for financial institutions to run multi-operation business in the international financial market. Financial Holding Company (FHC) is engaged on the synthetical and multi-financial business to achieve the economic of scare and the economic of scope, disperse the risk of single financial business and enhance the stability of the finance conglomerate through logical structure designing. At the same time the holistic especial structure and the various business’ admixture, across and superposition should bring the problem of new and holistic unusual risks which be caused by the affiliated transaction under the circumstance of the FHC. This article analyses not only the concept of financial holding companies, but also the financial holding company’s characteristics and work modes in the angle of law and then make a conclusion combined with the characteristics of the affiliated enterprise: the financial holding company is one kind of affiliated enterprises substantially. To define the affiliated transaction in the financial holding company, there should be fist to define the affiliated organs the transaction between whose need to be supervised by the law. The second chapter of this article generalizes and concludes the conception of the affiliated transaction inside the financial holding company and the organ of the affiliated transaction. There have the generalization of the affiliated transaction inside the financial holding companies combined with the character of the financial holding companies and the analysis of the types of the transaction. This part is the basic theory study about the affiliated transaction inside the financial holding company mostly. In the third chapter, there are some dissertators about the influences come from the affiliated transaction inside the financial holding company. The affiliated transaction has two sides. Combine with the superiority of the FHC, the affiliated transactions are propitious to make the FHC expand the scale, obtain the economic of scale, reduce the deal cost and then to make the profit maximal come true. Otherwise, the affiliated transactions make against the nation’s behalf (e.g. revenue, outflow of the national asset and social economic order), the correlative benefit main body including the subordinative organ and the minority stockholder and creditor. The affiliated transaction will engender the spread of the financial risk, the conflict of interest, the centralization of risk, the escape of regulation and the information’s opacity and asymmetry. This part illuminates the necessary of legal regulating. The fourth chapter is an important section. There has some inevitability of the engenderer of the affiliated transaction, so the regulation of the affiliated transaction should start with the causation. The affiliated transaction is caused by the diversification of the enterprise outside modality, the conflict of the power inside company, the limited liability of the stockholder. The overseas countries regulate the affiliated transaction inside the FHC with the principle of lifting the evil of corporation, deep-rock doctrine and fiduciary duties. According to the fore-and-aft order, the systems applied to control the affiliated transaction inside the FHC include the system of Enhanced Obligations of Financial Holding Companies, the system of the Fire Wall, the system of general meeting authorize the major transaction, the system of voting power exclusion, the system of independent director, the system of shareholder’s derivative litigation. The concrete specifications about the affiliated transaction inside the FHC include the capital require, the restriction of trade, the independency of the affiliated institution, the requirement of inside control, the disclosure and report. The last part of this chapter enumerates several trades not to need restrain. The affiliated transaction inside the FHC is inevitable, because the FHC will lose the po

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