我國證券公司退出制度法律研究.pdf

1、湖南大學(xué)碩士學(xué)位論文我國證券公司退出制度法律研究姓名：莫穎申請學(xué)位級別：碩士專業(yè)：經(jīng)濟(jì)法指導(dǎo)教師：王遠(yuǎn)明20070420耋里堊2釜耍|曼皇型耋鎏堡2墨AbstractAsaveryimportantIntermediaries011stockmarkettheSecuritiesCorporationhadplayedaveryimportantroleinthedevelopmentofthemarketallthroughtheir

2、sgrowthduringthereformandexplorationButitaccumulatedlotsofcontradictionsandproblemswhilethedevelopmentInrecentyeas，theproblemsintheSecuritiesCorporationhavebeenfullyexposedandtheriskshasbecomemoreobviouslyduringthestruct

3、uraladjustmentofthemarketandtheongoingintensifiedreformeffortsThekeysubjectfacingtheChinesestockmarkethasbegomethedisposalriskandmarketquitoftheHigh塒skSecuritiesCorpomtiomAninstitutionalizedandintegritymarketquitinstitut

4、ionsasanimportantsignsofChinesegraduallymaturedstockmarketwillaccelerateChinesestockmarketstandardizationinstitutionalizationandmarketorientedoperationnalsoactedapromotingroleinthehealthydevelopmentofChinesestockmarketNo

5、wmeasures，suchastrusteeshipcouncil，takeoverrevocationbankruptcyhavebeentakenbyRegulatoryDepartmenttodisposalrelatedproblemsduringtheSecuritiesCorporationmarketquitButtherearemoreinthemarketquitinstitutionsInordertesolveo

6、rreducerisksreallyontheSecuritiesCorporationmarketquit；aneffectiveandIntegrityinstitutionsmustbesetTherearelotsofInadequaciesintheSecuritiesCorporationmarketquitwhichmainlymanifestedinthefollowingfouraspects：fasttherelev

7、antlawsandregulationsarcnotperfect；second，thereis110riskearlywarningsystemThatmeanswecab’tfinddisposal，resolveintheearlystage；third，therearcnodefinitestatutorystandards；foattheinstitutionsofinvestorprotectiondoesnotexist

8、SotheprofitsofinvestorscannotbeeffectivelyprotectedafIefthemarketquitofSecuritiesCorporation；thelastshortcomingsmthesimplesupervisorsandincomprehensivesupervisionhthisarticlebased011theanalysisofthestatusofChineseSecurit