摘要
证券经纪人已成为我国证券市场的重要组成部分。随着证券经纪人的发展,证券经纪人相关纠纷不断涌现,凸现其法律地位模糊、法律责任界定不明等问题。为此,本文探讨了证券经纪人制度相关模式、现实状况及存在的主要问题,并分析了其与证券公司、客户之间的基础法律关系,提出规范发展我国证券经纪人制度的若干监管建议。
Currently,brokers are playing an important role in China securities market.As disputes arise with development of the industry,it is calling for a well-defined legal status and description of obligations. The author discusses the model of broker system,the status quo and major problems,analyses the basic legal relationship between securities houses and their clients,and makes regulatory proposal on improving broker system.
出处
《证券市场导报》
CSSCI
北大核心
2007年第7期47-53,共7页
Securities Market Herald
关键词
证券经纪制度
证券经纪人
经纪业务
证券公司
securities broking system
securities brokers
broking business
securities houses
