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Study On The Legal Control Of Securities Dealers

Posted on:2001-06-22Degree:MasterType:Thesis
Country:ChinaCandidate:S Q CaiFull Text:PDF
GTID:2156360002950681Subject:Economic Law
Abstract/Summary:PDF Full Text Request
Study on The Legal Control of Securities Dealers The legal control of securities dealers is one of the most important parts of securities law. Whether the countries with full-developed securities market or those with newly- cultivated securities market lay great emphasis on the legal control of securities dealers. On the basis of study on the legal system about securities dealers from different countries and areas, the author analyzes the regulation about securities dealers in my countries, and put forward some proposals to perfect it. Chapter one is general discussion about the legal control of securities dealers. In this chapter, the author discusses the concept and classification of securities dealers, analyzes the value object and instinct of this legal control. In chapter two, the author studies the market admission control of securities dealers. It includes legislation principle, substantive conditions of market admission and the legal form of securities dealers. Chapter three is concerning the rules about actions of securities dealers. The law controls the action of a subject matter by regulating that it ust do, may do and mustn do? As for securities dealers, it must report both to the securities regulatory authority and to investors, guarantee its financial affairs lawful, abide by the prohibitions from stock market manipulation, inside trading, securities fraud, etc. Chapter four is about the supervision and administration of securities dealers. The author focuses on the system of the relationship between bank and securities industry and the model of supervision and administration: self-regulation model and himself-regulation model. In the last chapter, the inner-control system of securities dealers was studied. After analyzing the components of inner-control system, the author makes some constructive proposals for a better inner-control system.
Keywords/Search Tags:Legal control, Securities dealers, Securities market
PDF Full Text Request
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