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On The Fiduciary Duty Of Securities Companies In Securities Brokerage

Posted on:2015-03-23Degree:MasterType:Thesis
Country:ChinaCandidate:Z M ShiFull Text:PDF
GTID:2206330464951545Subject:Civil and Commercial Law
Abstract/Summary:PDF Full Text Request
With the rapid development of the world economy, securities companies has become an important mainstay of the economy of the market, the securities brokerage business as an important business of securities companies to promote the development of securities companies also played an important role. Since the securities brokerage business has the characteristics of agency relationship, therefore securities companies in the securities brokerage business should bear the duty of loyalty to investors. Duty of loyalty is important to regulate the securities company’s behavior and protect the interests of investors. Currently China is lack of legislation on securities firms norms of fidelity duty, fidelity duty norms only scattered in individual terms of civil law. This paper introduces the basic theory of securities companies and the obligation of fidelity duty, to explain the important role of the fidelity duty to the development of securities brokerage business, by drawing on foreign theories, put forward two ideas to improve China’s securities company’s fidelity duty in the securities brokerage business.
Keywords/Search Tags:securities companies, securities brokerage business, fidelity duty
PDF Full Text Request
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