我國(guó)金融系統(tǒng)性風(fēng)險(xiǎn)防范的法律規(guī)制研究——以金融中介機(jī)構(gòu)勸誘銷售為視角.pdf

1、ivlJLllii3lLiIi2LlllL5llil!19LHolil!8liilll91ill!學(xué)授代碼：10270斗類號(hào)；Ⅲi438學(xué)號(hào)：152302202上驂腳范大誓碩士專業(yè)學(xué)位論文我國(guó)金融系統(tǒng)性風(fēng)險(xiǎn)防范的法律規(guī)制研究一一以金融中介機(jī)構(gòu)勸誘銷售為視角學(xué)院：蜇呈當(dāng)洼絲塋院專業(yè)學(xué)位類別：洼建亟!溘堂2專業(yè)領(lǐng)域：匿洼研究生姓名：掛室田指導(dǎo)教9ili：畫(huà)崽完成日期：2Q!Z生旦AbstractShanghaiNormalUniversit

2、yMasterofPhilosophyAbstractWiththerapiddevelopmentoffctitiouseconomythecapitalflowofcapitalmarketisincreasingdaybydayInaseriesofactsofsecuritiesinvestment，financialintermediariesplayanimportantrole，whichplaysaguidingrole

3、inthevalueorientationofinvestorsIfinvestorsinvestinthedirectionofdiversification，ifthestateofthefinancialmarketriskcanbehedgedtoeliminateButifundertheinvestorsinfinancialintermediariestooccurtheconvergenceofinvestmentbeh

4、avioritmaybewirepullersecretlysmoke，themarketfellsharplycausingsystemicfinancialrisksInthispaperthroughtheanalysisofthecharacteristicsofsystemicfinancialriskandthefivereasonsfortheformationoflargescaledefaults，theconnota

5、fionandextensionofsystemicriskareintroducedindetailThenegativeeffectofsystemicriskthroughtheresearchoffinancialinstitutions，tofurtherexploretheinfluenceoffinancialinstitutionstosalesofsystemicriskSpecificallythispapercon

6、sistsoffourparts：ThefirstpartisthedefinitionoftheconceptIsdividedintothreeaspects：first，throughtheintroductionofforeignscholarsonthe”systemicfinancialriskconcept，theconceptof’systemicrisk”；secondlybythesamemethod，defines

7、theconnotationandextensionoP’financialintermediaries’’；finallybycomparingthewaytointroducethecharacteristicsoffinancialintermediariestothesalesbehaviorCanbeseenfromtheprotectionoffinancialconsumersandinvestors，particular

8、ityandnecessityoftherightThesecondpartistheproblemanalysisInthesaleoffinancialproductsthedomesticfinancialintermediationasthebasis，summedupthedeficienciesinthefinancialconsumerandinvestorprotection，isdividedintothreepoin

9、ts：oneisthelegalnatureoffinancialintermediariesisnotclearmainlyreferstothelagoflegalandregulatoryconcept；twoistheexistenceoftherighttoknowthefinancialinvestorproblemIncludingmisleadinginformation，repeatedpersuasionandSOo

10、n；thethreeisthefinancialconsumersandinvestorstemedytheproblems，mainlyreferstothedistributionoftheburdenofproofinvestorsandfinancialinstitutionsscheduledperiodandSOonThethirdpartistheintroductionofinternationalexperienceT