论证券公司在证券经纪业务中的忠实义务

发布时间：2019-06-14 23:49

【摘要】：随着世界经济的快速发展,证券公司已经成为经济市场的重要主体,而证券经纪业务作为证券公司的重要业务对推动证券公司的发展也起到了不可小觑的作用。由于证券经纪业务具有代理关系的特征,因此证券公司在证券经纪业务中对投资者应负有忠实义务。忠实义务对规范证券公司的行为,保护投资者的利益具有重要意义。我国目前的立法中缺乏对证券公司忠实义务的规范,对忠实义务的规范仅散见于民法通则的个别条款。本文通过介绍证券公司与忠实义务的基本理论,阐述了忠实义务对证券公司经纪业务发展的重要作用,通过借鉴国外相关理论,提出了完善我国证券公司在证券经纪业务中忠实义务的两种设想。
[Abstract]:With the rapid development of the world economy, securities companies have become an important subject of the economic market, and securities brokerage business, as an important business of securities companies, has also played an important role in promoting the development of securities companies. Because the securities brokerage business has the characteristic of agency relationship, the securities company should have the duty of faithfulness to the investor in the securities brokerage business. The duty of faithfulness is of great significance to standardize the behavior of securities companies and protect the interests of investors. At present, there is a lack of norms on the duty of faithfulness of securities companies in the current legislation of our country, and the norms of the obligation of faithfulness are only scattered in the individual provisions of the general principles of civil law. By introducing the basic theory of securities company and duty of faithfulness, this paper expounds the important role of duty of faithfulness in the development of brokerage business of securities company, and puts forward two ideas of perfecting the duty of faithfulness of securities company in securities brokerage business of our country by drawing lessons from the relevant theories of foreign countries.
【学位授予单位】：黑龙江大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287

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