欧盟《金融工具市场指令》中的投资者适当性
发布时间：2019-06-18 08:37
【摘要】：随着创业板及股指期货的相继推出,"投资者适当性"逐渐成为中国证券投资者保护制度中的一项重要内容。在资本市场全球化发展背景下,为运用投资者适当性规则实现投资者教育和保护的目标,有必要详尽地介绍此项制度在域外的发展及对金融行业产生的重要影响。由于欧盟投资者适当性制度发展受先前法律的影响较少,内容更为全面且彻底,因而对中国资本市场投资者保护规则的完善具有更为重要的现实意义。本文将对欧盟《金融工具市场指令》及其执行指令中的相关内容进行逐一介绍、分析,以供完善中国证券投资者保护机制借鉴。
[Abstract]:With the introduction of the GEM and the stock index futures, the "Investor's appropriateness" has become an important part of China's securities investor protection system. In the background of the globalization of capital market, in order to realize the goal of investor education and protection by using the appropriate rules of investors, it is necessary to introduce the development of the system and the important influence on the financial industry in detail. Because the development of the proper system of the EU investor is less influenced by the previous law, the content is more comprehensive and thorough, so it is of great practical significance to the improvement of the investor protection rule of the Chinese capital market. This paper will introduce and analyze the relevant contents of the EU and its execution order to improve the protection mechanism of China's securities investors.
【作者单位】： 上海证券交易所;
【分类号】：F832.51
本文编号：2501334
[Abstract]:With the introduction of the GEM and the stock index futures, the "Investor's appropriateness" has become an important part of China's securities investor protection system. In the background of the globalization of capital market, in order to realize the goal of investor education and protection by using the appropriate rules of investors, it is necessary to introduce the development of the system and the important influence on the financial industry in detail. Because the development of the proper system of the EU investor is less influenced by the previous law, the content is more comprehensive and thorough, so it is of great practical significance to the improvement of the investor protection rule of the Chinese capital market. This paper will introduce and analyze the relevant contents of the EU
【作者单位】： 上海证券交易所;
【分类号】：F832.51
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