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Research on the legal system of securities holding system

Author: LiuXiaoMing
Tutor: WangYong
School: China University of Political Science
Course: Civil and Commercial Law
Keywords: direct securities hold pattern indirect security hold pattern investor intermediary
CLC: D912.28
Type: Master's thesis
Year: 2006
Downloads: 206
Quote: 6
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Abstract


How to held securities is always a problem in security marketssecurities is held byinvestor and exchanged through negotiable securities papers in early period ,because theamount of securities is limited,with the amount of securities keeping increasing,exchanging through negotiable securities papers influence the efficiency of securitymarket , so negotiable securities papers are ameliorated into electronic securities, andsecurities begin to be held by intermediary.The papers is divided into four parts, the first part analysis the social foundation ofsecurities hold pattern through expatiating the history of the developing of the pattern ofsecurity being held by investor and intermediary. The changes of securities hold patternis security market’s choice.The second part anatomy legal relationship and investor’s rights under directsecurities hold pattern。In this case, investor take direct property right, whose identityand other information about security holding are registered in issuer and center securitydeposit institute. The intermediary just work as agency of investor, transferringexchange order to center clearing institute in investor’s name. Investor respond for theresult of exchange, and have the right of taking back his security and capital when theintermediary bankruptcy.The third part analysis legal relationship and investor’s right under indirect securityhold pattern。In this case, the investor should open security account in intermediary,whose identity and other information about security holding not register in issuer andcenter security deposit institute, and the center security deposit institute is the securityholder in issuer’s security book, which is the precondition of realizing the securityunmoving. Indirect security hold pattern challenge contemporary legal system,lawmakers always surpass traditional legal principle and create new legal concept toprotect investor’s security interest.The fourth part analysis china security hold pattern, and advance the author’slegislation suggestion. The security is held by investor in china, which has been writtenin the Security law. Since some intermediaries in china nowadays security market is notcreditable, lawmakers cannot agree that indirect security hold pattern can be adopted.

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