我國金融系統(tǒng)性風險防范的法律規(guī)制研究——以金融中介機構勸誘銷售為視角.pdf

1、ivlJLllii3lLiIi2LlllL5llil!19LHolil!8liilll91ill!學授代碼：10270斗類號；Ⅲi438學號：152302202上驂腳范大誓碩士專業(yè)學位論文我國金融系統(tǒng)性風險防范的法律規(guī)制研究一一以金融中介機構勸誘銷售為視角學院：蜇呈當洼絲塋院專業(yè)學位類別：洼建亟!溘堂2專業(yè)領域：匿洼研究生姓名：掛室田指導教9ili：畫崽完成日期：2Q!Z生旦AbstractShanghaiNormalUniversit

2、yMasterofPhilosophyAbstractWiththerapiddevelopmentoffctitiouseconomythecapitalflowofcapitalmarketisincreasingdaybydayInaseriesofactsofsecuritiesinvestment，financialintermediariesplayanimportantrole，whichplaysaguidingrole

3、inthevalueorientationofinvestorsIfinvestorsinvestinthedirectionofdiversification，ifthestateofthefinancialmarketriskcanbehedgedtoeliminateButifundertheinvestorsinfinancialintermediariestooccurtheconvergenceofinvestmentbeh

4、avioritmaybewirepullersecretlysmoke，themarketfellsharplycausingsystemicfinancialrisksInthispaperthroughtheanalysisofthecharacteristicsofsystemicfinancialriskandthefivereasonsfortheformationoflargescaledefaults，theconnota

5、fionandextensionofsystemicriskareintroducedindetailThenegativeeffectofsystemicriskthroughtheresearchoffinancialinstitutions，tofurtherexploretheinfluenceoffinancialinstitutionstosalesofsystemicriskSpecificallythispapercon

6、sistsoffourparts：ThefirstpartisthedefinitionoftheconceptIsdividedintothreeaspects：first，throughtheintroductionofforeignscholarsonthe”systemicfinancialriskconcept，theconceptof’systemicrisk”；secondlybythesamemethod，defines

7、theconnotationandextensionoP’financialintermediaries’’；finallybycomparingthewaytointroducethecharacteristicsoffinancialintermediariestothesalesbehaviorCanbeseenfromtheprotectionoffinancialconsumersandinvestors，particular

8、ityandnecessityoftherightThesecondpartistheproblemanalysisInthesaleoffinancialproductsthedomesticfinancialintermediationasthebasis，summedupthedeficienciesinthefinancialconsumerandinvestorprotection，isdividedintothreepoin

9、ts：oneisthelegalnatureoffinancialintermediariesisnotclearmainlyreferstothelagoflegalandregulatoryconcept；twoistheexistenceoftherighttoknowthefinancialinvestorproblemIncludingmisleadinginformation，repeatedpersuasionandSOo

10、n；thethreeisthefinancialconsumersandinvestorstemedytheproblems，mainlyreferstothedistributionoftheburdenofproofinvestorsandfinancialinstitutionsscheduledperiodandSOonThethirdpartistheintroductionofinternationalexperienceT