我国证券公司破产清算中投资者权益保护的问题研究

发布时间：2018-01-09 19:33

本文关键词：我国证券公司破产清算中投资者权益保护的问题研究　出处：《暨南大学》2012年硕士论文　论文类型：学位论文

【摘要】：当前我国证券公司破产程序中投资者权益保护制度尚不完善，现实中存在大量证券公司破产程序中侵害投资者权益的情形。本文从加强投资者权益保护，构建有效的利益维护机制出发，分析了当前我国证券投资者保护的现实困境，学习和借鉴欧美成熟的证券投资者保护机制的基础上就完善我国证券公司破产程序中的投资者权益保护提出相关法学思考。本文可分为四个部分。第一部分主要对证券公司破产程序的相关理论进行阐述，分析了证券公司破产程序的特殊性，并重点对投资者权益进行分析；第二部分对美国和欧盟证在投资者保护方面的相关制度进行介绍，以达到学习借鉴的作用；第三部分就当前我国证券公司破产程序中的投资者权益保护现实困境进行分析，主要包括：法律困境、证券公司破产财产分配不平等、证券类资产转让过程不合理导致资产减值及投资者保护基金公司作用受限；第四部分通过前面三部分的论述，针对我国证券投资者权益保护的现实困境并在欧美等国的成功经验上，就如何改进我国投资者权益保护水平提出了思考，，包括构建证券投资者权益保护法律体系、平等的破产财产分配、建构市场化的破产制度，加强投资者在破产程序中的权利与完善证券投资者赔偿法律体系等方面。
[Abstract]:At present, the protection system of investor's rights and interests in the bankruptcy procedure of securities company in our country is not perfect, and there are a large number of cases of infringing investor's rights and interests in the bankruptcy procedure of securities company in reality. Starting from the construction of an effective interest maintenance mechanism, this paper analyzes the current plight of the protection of securities investors in China. On the basis of studying and drawing lessons from the mature protection mechanism of securities investors in Europe and the United States, this paper puts forward some relevant legal considerations on how to improve the protection of investors' rights and interests in the bankruptcy procedure of securities companies in China. This paper can be divided into four parts. The first part mainly describes the relevant theory of securities company bankruptcy procedure, analyzes the particularity of securities company bankruptcy procedure, and focuses on the analysis of investors' rights and interests; The second part of the U. S. and the European Union in the protection of investors in the relevant systems are introduced in order to learn from the role of reference; The third part of the current securities company bankruptcy procedures in the protection of investors' rights and interests of the real dilemma, including: legal difficulties, securities companies bankruptcy property distribution inequality. The unreasonable transfer process of securities assets leads to the impairment of assets and the restriction of the role of investors in protecting fund companies; Through the discussion of the first three parts, the 4th part puts forward some thoughts on how to improve the level of the protection of investors' rights and interests in China in view of the realistic predicament of the protection of the rights and interests of securities investors in China and the successful experiences of Europe and the United States and other countries. Including the construction of securities investors' rights and interests protection legal system, the equal distribution of bankruptcy property, the construction of a market-oriented bankruptcy system. Strengthen investors' rights in bankruptcy proceedings and improve the legal system of compensation for securities investors.
【学位授予单位】：暨南大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.28;F832.51

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