论欧盟投资者适当性制度
发布时间：2018-12-31 22:14
【摘要】：欧盟投资者适当性制度主要体现在《金融工具市场指令》及其实施指令当中。投资服务客户分类是前提,投资公司履行"了解客户"义务是基础,投资公司"最佳执行"要求是核心,也是投资者适当性制度的落脚点。欧盟成员国在国内转化实施指令,意味着投资者适当性制度在欧盟层面趋于协调和一致。在新的形势下,欧洲主权债务危机此起彼伏,欧盟投资者适当性制度面临新的考验和挑战。专业客户分类面临新的调整,"最佳执行"要求有待进一步完善,投资服务客户保护水平整体上得以提升。
[Abstract]:The EU investor suitability system is mainly embodied in the Financial Instruments Market Directive and its implementation directives. The classification of investment service customers is the premise, the investment company to fulfill the "know customer" obligation is the basis, the investment company "the best execution" requirement is the core, also is the investor appropriate system the foothold. The EU member states' domestic transformation and implementation of the directive means that the investor appropriateness system tends to be coordinated and consistent at the EU level. Under the new situation, the European sovereign debt crisis is one after another, the European Union investor suitability system faces new test and challenge. Professional customer classification is faced with new adjustment, "best execution" requirements need to be further improved, investment service customer protection level can be improved overall.
【作者单位】： 上海对外贸易学院法学院;
【基金】：教育部人文社会科学研究青年基金项目“新形势下金融稳定和投资者保护法律制度研究—以金融系统性风险为视角”(项目编号:11YJC820068) 上海市教委第五期重点学科国际贸易法项目(项目编号:J51204)的资助
【分类号】：D95;D922.28
，
本文编号：2397178
[Abstract]:The EU investor suitability system is mainly embodied in the Financial Instruments Market Directive and its implementation directives. The classification of investment service customers is the premise, the investment company to fulfill the "know customer" obligation is the basis, the investment company "the best execution" requirement is the core, also is the investor appropriate system the foothold. The EU member states' domestic transformation and implementation of the directive means that the investor appropriateness system tends to be coordinated and consistent at the EU level. Under the new situation, the European sovereign debt crisis is one after another, the European Union investor suitability system faces new test and challenge. Professional customer classification is faced with new adjustment, "best execution" requirements need to be further improved, investment service customer protection level can be improved overall.
【作者单位】： 上海对外贸易学院法学院;
【基金】：教育部人文社会科学研究青年基金项目“新形势下金融稳定和投资者保护法律制度研究—以金融系统性风险为视角”(项目编号:11YJC820068) 上海市教委第五期重点学科国际贸易法项目(项目编号:J51204)的资助
【分类号】：D95;D922.28
，
本文编号：2397178
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