Legal Research On The Supervision And Management Of Investment Bank

As an intermediary institution in capital market, investment bank plays a decisive role in a nation's economy as well as in the process of developing the economy. Entering 90's along with the change of international financial market and financial system, investment bank presents the trend of comprehensivation and internationalization of business; meanwhile many large-scale financial institutions emerge. Owning to the keen competition in financial market, the problem of financial risk becomes more and more striking, as a result, to reinforce the supervision and management of investment bank has become a pressing task. As to China, the investment banking was confronted with many problems in the initial stage of development, especially, the problem of supervision and management, therefore, research on the supervision and management has its practical significance.Through analyzing the essence of investment bank, this paper is intended to contrast and compare the characteristics between investment and commercial bank. Adopting the comparative analytic approach, this paper focuses on the research into the investment bank supervision and management law in western countries, expounds its general theories and specific contents. On the basis of analyzing the present situation of China's investment bank and combining the development tendency of international investment banking, the author proposes the suggestion and advice of improving China's investment banking supervision and management.