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A Research on Legal Protection for Investors in Case of Withdraw of Securities Company in China

Author: NiuYunCheng
Tutor: LiangMuSheng
School: Huazhong University of Science and Technology
Course: Legal
Keywords: Securities Company Withdraw Mode Investor’s Protection
CLC: F832.51
Type: Master's thesis
Year: 2010
Downloads: 76
Quote: 0
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Abstract


Securities company is one of the most important part in China’s financial market,in recent years,both the level of operation and profitability of securities company promoted rapidly.These companies have made great contribution to both the development of China’s financial market and the optimum allocation of resources.But China’s securities market is an emerging financial market, securities company have accumulated considerable risks during the process of development . Because of the operation failure ,the phenomenon that China’s securities companies have been disposed became more and more.For long time,the absence of the reasonable withdraw mechanism will not only hinder the resource allocation function of the market ,but also affect the interests of tens of thousands of small and medium-sized investors.From the development trend of the mark,we must improve the investor protection mechanism,to achieve long-term stable and healthy development of China’s securities market.The main part is divided into four chapters.The first chapter defines the concept of market withdraw, at the same time, gives out the modes .The second chapter clears the investors’rights and interests involved in the withdraw of securities company ,these rights and interests embodied in business of broker and assets management. The third chapter analyses the securities investor protection status and the current questions . Along with the withdraw of securities company,the securities or funds entrusted by investors to securities company will encounter the risks of not having back all or part.The fourth chapter is about the improvement on investor protection mechanism.The suggestions include improving the legal system construction ,perfecting the legal system of Securities Investor Protection Fund and introducing the Class Action.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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