【作者】 李文；

【导师】 吴双全；

【作者基本信息】 兰州大学 ， 法律， 2009， 硕士

【摘要】 证券投资者是证券市场的基本因子,证券市场的繁荣与稳定受到证券投资者对证券市场信心的直接影响。发达国家和地区证券市场的实践证明,证券投资者保护基金对于树立投资者信心、防范和化解证券市场风险、保证证券市场稳定和健康发展发挥了十分重要的作用。中国证券市场正处于转轨时期,证券投资者保护基金的成功运作尤为重要,它不仅关系到转轨时期我国证券市场系统风险能否妥善解决,而且关系到能否建立适合中国国情的投资者保护制度,进而完善证券市场的制度建设,促进证券市场健康、稳定发展。为此,本文在对发达国家和地区证券投资者保护基金运作模式进行比较研究的基础上,结合中国的现实状况,从立法和实践两方面分析了中国证券投资者保护基金存在的问题,并提出了相应建议。论文共分六个部分。绪论简明地介绍了证券投资者保护问题的由来,同时阐述了论文的意义、研究内容、研究方法、国内外文献综述,强调在我国经济转轨过程中研究证券投资者保护问题的迫切性和现实意义。第一章论述了保护基金的概念、产生背景、功能,为下文的论述奠定基础。第二章分别以美国、英国、德国、加拿大、我国香港和台湾地区为代表,重点介绍了国际上保护基金的两种模式,即独立模式和附属模式,旨在了解发达国家和地区证券投资者保护基金的运作方式,为我国证券投资者保护基金的运作提供参考和借鉴。第三章考察和分析了我国证券投资者保护基金立法上的不足,并提出了一些建议。第四章探讨了我国证券投资者保护基金在实践运作中出现和可能出现的问题,并提出了相应的应对建议。最后为本文的结论。更多还原

【Abstract】 Securities investors are highly important for the securities market which can be effected directly and notably by their confidence. Proved by the experience of the developed country and areas, The Securities Investor Protection Fund is very helpful to increase of investor’s confidence, establish a long-term mechanism for preventing and handling the risks of securities market, promote orderly and healthy development of the securities market. Its operation model is related closely to securities investor protection, especially during transformation period, the successful running of Securities Investor Protection Fund is not only concerned to prevent and handle the risks of securities, but also concerned to the Chinese characteristics investor protect system building. Accordingly, to perfect the system building of Chinese securities market and accelerate the healthy development of the securities market. Therefore, based on the existing results of the studies from the developed country and areas mature securities market, this paper gives a deep study on Securities Investor Protection Fund from legislation and practice, and puts forward some policy suggestions. The paper includes six parts.First part introduces the background of the investor protect and explains the meaning and content of this study, the method of the research, the research of the home and overseas. Finally, emphasizes its importance and urgency in the transformation period.Chapter I define the Securities Investor Protection Fund, introduces the background and the function of the investor protect, so as to be a basic for the following explains.Chapter II introduces the two models of the world, the independent and affiliated model, take the example of America,British,Germony,Canada,HongKong,Taiwan,in order to have a knowledge of those countries and areas, with this research results, it offers us some reference to the practice of the securities investor protect fund in china.Chapter III of this article reviews the existing problem of the legislation of the Chinese Securities Investor Protect Fund and give some suggestions. Chapter IV is the keystone of this paper, in this part, the author analyze the problem raised and will raise in the future, and bring forth some suggestions to perfect the establishment of the Securities Investor Protect Fund.The last is the conclusion of the article.更多还原