Research On Supervision Of Risks Regarding The Securities Credit Transaction In China

This thesis uses the methods of comparison analysis and historical analysis with a focus on the supervision of the arising risks of securities credit transactions, and probes the matters such as the model choice of the supervision of securities credit transactions in China by means of using the relevant experiences of the mature security market for references. Then, it points out the deficiencies and defects of the supervision of risks securities credit transactions and offers suggestions which are beneficial to the constitution and perfection of the supervision of securities credit transactions.Besides the preface and epilogue, the scheme of the thesis contains four chapters as follows:Chapter 1 gives a discussion on the legal analysis of securities credit transactions. Firstly, it introduces the connotation of securities credit transactions from both general and special respects, and describes the character of securities credit transactions, then analyses the legal essential elements of securities credit transactions. At last, it discloses the legal connections of securities credit transactions.Chapter 2 explicates the foreign forms of the supervision of risks of securities credit transactions. Firstly, it reveals the basic status of the supervision of risks of securities credit transactions in America, Japan and Taiwan separately. Then, it compares the regulations about supervision of risks of securities credit transactions in these countries and areas.Chapter 3 discusses the historical development and the deficiencies of the supervision of risks on the securities credit transactions in China. Firstly, it surveys the historical development of the supervision of risks on securities credit transactions in China. Then, it presents the main contents and indicates the deficiencies of the supervision of risks of securities credit transactions in China separately.Chapter 4 gives suggestions on consummating the system of legal supervision of securities credit transactions. Firstly, it gives a discussion on the model choice of the supervision system of risks of securities margin trading. Then, this thesis provides useful suggestions on the consummations of the legal system, the transferring guarantee, the market admittance of investors, the caution money, the transfer of funds and securities intermediation, and the universal clearing. At last, it suggests establishing the system of staring each trading.