The Law To Regulate The Security Company's Conflict Of Interest

This article from the securities trader conflicts of interest angle proposed solves the securities trader contrary question new way. Because the author discovered between securities trader's contrary behavior and the securities trader each service conflicts of interest have the inseparable relation. Because between the securities trader each service conflicts of interest, have caused the securities trader each illegal contrary behavior occurrence. Therefore the author attempts to use to the securities trader conflicts of interest legal rules and regulations, achieved eliminates the securities trader illegal contrary behavior thoroughly the goal. Through to the securities trader conflicts of interest definition, the manifestation, forms the reason, creates the harm, the existence question, the solution and so on several aspect elaboration, realize to the securities trader conflicts of interest comprehensive rules and regulations. But through to the securities trader conflicts of interest comprehensive rules and regulations, realizes to securities trader's management pattern and securities trader's internal control effective supervising and managing, has solved securities trader's contrary problem from the source.The securities trader conflicts of interest are refer to the securities trader is holding the post in the market the different role, including brokerage firm, self-management business, investment and financial control consultant, credit corroborative in both urban and rural areas, call for fund five kind of roles. When a securities trader has simultaneously had above these kind of role two kinds, also between these roles has the obvious benefit dispute and the benefit contention the tension, we said this securities trader is facing the conflicts of interest. This conflicts of interest are the securities trader conflicts of interest.The securities trader conflicts of interest manifestation is the conflicts of interest which between the securities trader various services produces, mainly includes: 1. sells on consignment the conflicts of interest which between the service and the broker service produces; 2. sells on consignment the conflicts of interest which the service and between the investment consultation service produces; Between 3. self-management services and the broker service produce conflicts of interest; 4.self-management services and between the investment consultation service produces conflicts of interest; 5. Between the financing service and the self-management service produces conflicts of interest and so on.The securities trader conflicts of interest formation reason analysis mainly has two aspects: 1. securities trader conflicts of interest economic analysis; 2. securities trader conflicts of interest role analysis.The securities trader conflicts of interest form harm: 1. pair of stock market order harm; 2. pair of investors and securities trader own harms. During also enumerated the massive examples to carry on the real diagnosis analysis to the securities trader conflicts of interest harm.Our country question which exists in the securities trader conflicts of interest rules and regulations process: 1. legislation flaws; 2. supervising and managing system flaw; 3. responsibilities recognize with the investigation flaw; 4. The autonomy supervising and managing function empty sets at the situation to be serious.To our country securities trader conflicts of interest conception: 1. consummates the legislation system; 2. carries on the supervising and managing organizational reform; 3. establishments pursues the responsibility system to be clear about the supervising and managing function; 4. sharpens the securities trader profession autonomy ability.