证券市场投资者权益保护研究

发布时间：2018-03-12 21:14

  本文选题：投资者　切入点：证券市场　出处：《河北大学》2016年硕士论文　论文类型：学位论文

【摘要】：证券投资者是证券市场各项活动的重要主体,是证券交易的参与者。没有投资者就没有证券市场。在证券市场中,投资者尤其是中小投资者往往处于劣势地位,他们资金实力弱、个体松散,很难切实有效维护地自己的合法权益。作为整个市场存在的基础,中小投资者的权益能否得到良好维护决定着证券市场繁荣与否,证券市场的繁荣发展则对国家经济健康快速发展产生着极为深远的作用。因而,保护投资者的权益是一个关系到证券市场发展的突出任务。作为一个新兴市场,我国在证券投资者保护方面仍有诸多不足,存在着内幕交易、证券价格操纵、非法信息披露等一系列的问题,在缺少足够的法律保护机制的情况下,投资者很容易受到非法侵权进而导致投资损失。这必然会对证券市场发展产生负面影响,伤害投资者信心。我们有必要对这些问题进行研究,并完善投资者权益保护相关法律机制。本文首先针对证券市场、投资者权益保护的相关概念进行分析,阐述证券市场概念、证券市场与投资者关系、投资者权益保护的法律理念及其意义,说明保护投资者权益对发挥证券市场作用、促进市场经济发展、维护社会稳定的重要性。第三章通过对我国以及美国、日本等国家证券投资者权益保护制度进行对比分析,介绍了其他国家的经验做法,根据我国证券市场实际情况,提出可供我国参考的意见建议。第四章介绍我国证券投资者受到的侵权现状与相关法律制度的不足,从知情权、表决权、红利发放、关联交易、信息披露、监管体制、民事制度、诉讼和司法救济等方面对证券投资者权益保护进行分析,寻找我国证券投资者权益保护问题的关键。第五章中,通过分析前文中提出的各个问题,结合域外市场成功经验,从完善制度法规、公司治理、强化监管、权益救济、退市制制和其他相关机制等方面,提出完善我国证券投资者权益保护的建议。
[Abstract]:The securities investors are the main body of all kinds of activities in the securities market and the participants in the securities trading. There is no securities market without the investors. In the securities market, the investors, especially the small and medium-sized investors, are often in a disadvantaged position. Their weak capital strength and loose individuals make it difficult to effectively safeguard their legitimate rights and interests. As the basis for the existence of the entire market, whether the rights and interests of small and medium-sized investors are well maintained determines whether the securities market is prosperous or not. The prosperity and development of the securities market has a far-reaching effect on the healthy and rapid development of the national economy. Therefore, protecting the rights and interests of investors is a prominent task related to the development of the securities market. In China, there are still many shortcomings in the protection of securities investors, such as insider trading, securities price manipulation, illegal information disclosure and so on. In the absence of adequate legal protection mechanism, Investors are vulnerable to illegal infringement and loss of investment. This will inevitably have a negative impact on the development of the securities market and damage investor confidence. We need to study these issues. Firstly, this paper analyzes the relevant concepts of the securities market and investor's rights protection, expounds the concept of the securities market, the relationship between the securities market and the investors, and improves the legal mechanism of the protection of investors' rights and interests. The legal concept and significance of investor's rights and interests protection shows the importance of protecting investors' rights and interests to bring into play the role of securities market, to promote the development of market economy and to maintain social stability. This paper makes a comparative analysis on the protection system of the rights and interests of securities investors in Japan and other countries, introduces the experiences and practices of other countries, and according to the actual situation of China's securities market, Chapter 4th introduces the current situation of infringement of securities investors in China and the deficiencies of relevant legal systems, from the right to know, the right to vote, the distribution of dividends, related transactions, information disclosure, and regulatory system. The civil system, litigation and judicial remedies are analyzed to find the key to the protection of the rights and interests of securities investors in China. Chapter 5th, through the analysis of the above mentioned issues, Based on the successful experience of the foreign market, this paper puts forward some suggestions on perfecting the protection of the rights and interests of Chinese securities investors from the aspects of perfecting the system and regulations, corporate governance, strengthening supervision, rights and interests relief, delisting system and other related mechanisms.
【学位授予单位】：河北大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D922.287
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本文编号：1603315