我国中小证券投资者权益法律保护

发布时间：2018-04-11 14:04

本文选题：证券市场 + 中小投资者　；参考：《新疆财经大学》2013年硕士论文

【摘要】：证券市场是资本市场的有机组成部分,证券市场为一国实体经济发展注入了活力,也是一国居民投资的有效途径。一国证券市场发展成熟与否直接关系到一国经济的发展状况。国务院总理温家宝在2010年政府工作报告中强调要不断改进人民群众的收入构成,增加居民财产性收入。我国证券市场全面建设于1990年,经过20多年的发展在取得了成就的同时也存在许多缺点和不足。我国借鉴西方资本市场的经验建造了自己的证券市场,希望通过证券市场可以为企业发展以及居民投资提供更多的融资投资渠道,以适应企业多元化发展需要和居民多样化投资的需要。20年证券市场发展给企业带来更多便利融资的同时由于体制的不健全也导致我国中小投资者权益不断遭受侵害。随着我国金融体系改革的深化和创新,改革证券体制深化制度创新势在必行。本文主要从我国目前证券市场背景出发,探讨我国证券市场存在的问题,研究导致这些问题的深层次经济原因,并借鉴国外资本市场经验,从法律制度出发提出规范证券市场保护我国中小证券投资者合法权益的措施。全文共分为四个部分：第一部分主要基于法律依据对我国证券市场的发展作了介绍,并对证券市场上中小投资者的概念以及权益的内涵作了界定。对我国证券市场的发展论述以及相关概念的界定对于文章的阐述更为有益。第二部分主要根据我国目前证券市场中小投资者的权益受侵害状况进行分析,研究受侵害的原因以及从经济学以及法学的角度分析产生这些侵害的具体原因是什么。第三部分主要从比较视角的角度介绍了国外发达证券市场在中小投资者权益在立法、司法以及其他方面获得保护等方面的经验。第四部分主要针对上述出现的侵害中小证券投资者权益的问题借鉴国外保护投资者权益的经验,主要从司法制度、举证责任、完善监管等方面提出符合我国保护投资者权益的建议。
[Abstract]:The securities market is an organic part of the capital market. It has injected vitality into the development of a country's real economy and is also an effective way for the residents of a country to invest.The maturity of a country's securities market is directly related to the development of a country's economy.In his 2010 government work report, Premier Wen Jiabao stressed the need to continuously improve the income composition of the people and increase property income.The stock market of our country was built in 1990. After 20 years of development, it has made many achievements, but also has many shortcomings and shortcomings.China has built its own securities market by using the experience of western capital markets for reference, hoping to provide more financing and investment channels for the development of enterprises and residents' investment through the securities market.In order to meet the needs of diversified development of enterprises and diversified investment of residents, the development of securities market for 20 years has brought more convenient financing to enterprises, at the same time, because of the imperfect system, the rights and interests of small and medium-sized investors in our country have been continuously infringed.With the deepening and innovation of China's financial system reform, it is imperative to reform the securities system.Based on the background of China's current securities market, this paper probes into the existing problems in China's securities market, studies the deep-seated economic reasons leading to these problems, and draws lessons from the experience of foreign capital markets.Based on the legal system, this paper puts forward some measures to standardize the securities market and protect the legal rights and interests of the small and medium-sized securities investors in our country.The paper is divided into four parts: the first part mainly introduces the development of China's securities market based on the legal basis, and defines the concept and the connotation of the rights and interests of the small and medium-sized investors in the securities market.It is more beneficial to expound the development of China's securities market and the definition of related concepts.The second part is mainly based on the analysis of the infringement of the rights and interests of the small and medium-sized investors in the current securities market in China, and studies the causes of the infringement and what are the specific reasons for the infringement from the angle of economics and law.The third part mainly introduces the experience of foreign developed securities markets in legislation, judicature and other aspects of protection of the rights and interests of small and medium-sized investors from the perspective of comparison.The fourth part mainly aims at the above problems of infringing the rights and interests of small and medium-sized securities investors, mainly from the judicial system, the burden of proof from the experience of foreign countries to protect the rights and interests of investors.Perfect supervision and other aspects put forward in line with China's protection of investors' rights and interests of the recommendations.
【学位授予单位】：新疆财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287;D923

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