摘要
我国金融资本市场在不断发展、不断创新的同时,也出现了各种各样的投资问题,加剧了金融资本市场的风险性与不稳定性。由于投资者在投资信息、投资经验、投资知识等方面都处于弱势地位,使得投资者在交易中容易受到经济损失,为缓和这一矛盾,我国引入了投资者适当性制度。通过分析投资者适当性制度的理论基础,探讨我国投资者适当性制度遇到的问题,并从投资者分类制度、适当性义务规定、法律责任、救济机制四个方面提出完善建议。
While our country's financial capital market is constantly developing and innovating,various investment problems have also appeared,which has aggravated the risk and instability of the financial capital market.Because investors are in a weak position in terms of investment information,investment experience,investment knowledge,etc.,investors are vulnerable to economic losses in transactions.To alleviate this contradiction,my country has introduced an investor suitability system.Through the analysis of the theoretical basis of investor suitability,it explores the problems encountered by the suitability of investors in our country,and proposes perfect suggestions from the four aspects of investor classification system,suitability obligations,legal liabilities,and relief mechanisms.
作者
邓初
Deng Chu(Law School of Guangxi University,Nanning,Guangxi,530004)
出处
《市场周刊》
2021年第2期144-146,共3页
Market Weekly
关键词
投资者
适当性
金融市场
investor
appropriateness
financial market
