| 金融商品交易行为规则研究 |
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| 引用本文： | 黄爱学.金融商品交易行为规则研究[J].河北科技师范学院学报(社会科学版),2012(2):20-25. |
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| 作者姓名： | 黄爱学 |
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| 作者单位： | 北方民族大学法学院 |
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| 基金项目： | 北方民族大学校内基金项目“金融商品交易性质与监管研究”(2011Y003) |
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| 摘 要： | 通过对金融商品交易行为规则含义的论述,指出确立金融商品交易行为规则,对于金融商品交易业者而言,具有明确的行为指引作用和约束作用;对于投资者而言,具有特殊的保护作用;有利于形成正常的交易秩序;有利于准确的执法和司法。且欧盟、美国、日本和韩国等国立法都进行了规定,我国需要借鉴其他国家和地区的立法经验,从体系化及具体制度两个方面构建明确具体的行为规则体系。
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| 关 键 词： | 行为规则 说明义务 适合性规则 透明度规则 最佳执行规则 |
On the Conduct Rules in Exchange of Financial Products |
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| Huang Aixue.On the Conduct Rules in Exchange of Financial Products[J].Journal of Hebei Normal UNiversity of Science & Technology :Social Sciences,2012(2):20-25. |
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| Authors: | Huang Aixue |
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| Institution: | Huang Aixue (School of Law,Beifang University of Nationalities,Yinchuan Ningxia 750021,China) |
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| Abstract: | By analyzing the meaning of the conduct rules in exchange of financial products,the conduct rules should be established,which for the dealers plays an important role in guiding and behaving their activities,and in protection for the investors.This is conducive to the formation of the normal trade order and accurate law enforcement and judicial.European Union,United States,Japan and South Korea have made laws and rules for this from whom China should learn to construct conduct system form systematic and specific dimensions. |
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| Keywords: | conduct rules obligation of information disclosure suitability rule transparency rule best execution rule |
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