本文選題：證券市場 + 證券投資者　； 參考：《華僑大學》2012年碩士論文

【摘要】：投資者適當性制度起源于美國，在境外成熟的證券市場已經是規范投資者和證券公司之間權利義務關系不可或缺的一部分，是保護投資者最為有效的手段。雖然伴隨著2010年我國證券市場股指期貨在推出，管理層對于證券投資者適當性制度的建構日漸重視，于2010年5月出臺了《關于建立股指期貨投資者適當性制度的規定（試行）》。相應地，中金期貨交易所和中國期貨業協會也結合自身的監管實踐頒布了該規定的具體實施細則,然而這些規定和實施細則也只是局限于風險揭示的層面，并沒有真的觸及到投資者適當性制度的內核，更未與其他行業的投資者適當性制度形成完整的統一整體。有鑒于此，本文以我國為基點，，擬從國內外的雙重視角探討證券投資者適當性制度的立法實踐和演進，并立足于我國證券市場新興加轉軌的發展實際，在分析若干典型案例的基礎上借鑒美國、日本、歐盟以及中國香港、臺灣地區等成熟證券市場在證券投資者適當性制度方面的成功立法經驗，提出構建和完善我國證券投資者適當性制度的若干建議與對策。
[Abstract]:The system of investor appropriateness originates from the United States. It is an indispensable part of regulating the relationship between rights and obligations between investors and securities companies and the most effective means to protect investors in the mature overseas securities market. With the introduction of stock index futures in China's securities market in 2010, the management pay more and more attention to the construction of appropriate system for securities investors. In May 2010, the regulations on the establishment of appropriate system for investors in stock index futures were issued (on a trial basis). Accordingly, the CICC Futures Exchange and the China Futures Industry Association have also promulgated the detailed rules for the implementation of this regulation in the light of their own regulatory practice. However, these regulations and implementation rules are also limited to the level of risk disclosure. It does not really touch the core of investor appropriateness system, and does not form a complete unity with the investor suitability system of other industries. In view of this, this paper, based on our country, intends to discuss the legislative practice and evolution of the securities investors' suitability system from both domestic and foreign perspectives, and based on the development practice of the emerging and transitional securities market in our country. Based on the analysis of some typical cases, the successful legislative experience of mature securities markets such as the United States, Japan, the European Union, Hong Kong and Taiwan in terms of the appropriateness of securities investors is used for reference. Some suggestions and countermeasures are put forward to construct and perfect the securities investors' suitability system in China.
【學位授予單位】：華僑大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：D922.287;F832.51

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本文編號：1933704