证券投资者保护基金若干制度缺陷及完善

发布时间：2018-04-03 05:07

本文选题：证券投资者保护基金　切入点：资金　出处：《北方工业大学》2015年硕士论文

【摘要】：评判一个国家的证券市场先进与否,一个最重要的标准就是它的法律制度对证券投资者的保护是否完善。自改革开放以来,我国证券市场不断发展并完善的同时,也伴随着一些问题的产生。证券投资者因为投资失败而撤资、大量证券公司破产倒闭或被托管清算的现象不断涌现。基于以上原因,为了更好地保护中小投资者利益,我国建立了证券投资者保护基金制度。证券投资者保护基金制度的确立,在增强投资者对证券市场的信心,保护证券投资者利益方面做出了不小贡献,一定程度上保护了证券市场的稳定发展,但是在实际操作的过程中还是有很多缺陷与问题。本文针对证券投资者保护基金制度上的若干问题,结合一些先进国家(地区)的实践操作经验与我国的实际情况,从几个方面着手提出相应的建议进行完善。本文主要采用文献研究法,比较研究法,材料分析法,一共分五个章节：第一章,论文先从基本概念开始,分析其主要特征。然后整理了我国证券投资者保护基金制度的逐渐完善的立法过程。最后介绍了我国保护基金公司目前的运行现状,为下文打下基础。第二章,以第一章为基础,进而在我国制度运行中发现其中的缺陷与不足。主要从资金筹集、内部治理与外部监管、赔偿制度这三个方面提出存在的问题。第三章至第五章,分别是从证券投资者保护基金的资金筹集、内部治理与外部监管、赔偿制度这几方面与发达国家与地区进行比较及借鉴,并就这几个方面出现的问题提出自己的完善建议。
[Abstract]:The most important criterion to judge whether a country's securities market is advanced or not is whether its legal system is perfect for the protection of securities investors.Since the reform and opening up, China's securities market has been developing and improving, but also with the emergence of some problems.Because of the failure of investment, a large number of securities companies go bankrupt or liquidation by trusteeship.For the above reasons, in order to better protect the interests of small and medium investors, China has established the securities investor protection fund system.The establishment of the protection fund system for securities investors has made no small contribution to enhancing investors' confidence in the securities market and protecting the interests of securities investors. To a certain extent, it has protected the stable development of the securities market.However, there are still many defects and problems in the process of practical operation.Aiming at some problems in the system of securities investor protection fund, combining the practical operation experience of some advanced countries (regions) and the actual situation of our country, this paper puts forward some corresponding suggestions from several aspects.This article mainly uses the literature research method, the comparison research method, the material analysis method, altogether divides into five chapters:In the first chapter, the paper starts with the basic concept and analyzes its main characteristics.Then collate our country securities investor protection fund system gradually perfect the legislative process.In the end, the paper introduces the current operation status of the protection fund company in China, which lays the foundation for the following.The second chapter, based on the first chapter, finds the defects and deficiencies in the system operation of our country.The main problems are raised from three aspects: fund raising, internal governance and external supervision, compensation system.The third to fifth chapters are compared with developed countries and regions in the aspects of fund raising, internal governance and external supervision, compensation system and so on.And put forward their own perfect suggestions on the problems in these aspects.
【学位授予单位】：北方工业大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.287

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