英国证券法中的证券投资从业者初探

发布时间：2018-01-17 00:12

本文关键词：英国证券法中的证券投资从业者初探　出处：《中外法学》1997年02期 　论文类型：期刊论文

【摘要】：正英国证券法是一个由若干单行法规组成的,以《1986年金融服务法》(Financial Services Act,1986)为统率的证券法规体系。该体系中的若干法律,如《1974年友谊会社法)(Friendly Societies Act,1974),《1982年保险公司法》(Insurance CompaniesAct,1982),《1987年银行业法》(Banking Act 1987)等,均对证券投资从业者有各自的规定,但是对此问题进行最为全面规范的当属《1986年金融服务法)。这部法律中,涉及投资从业者的规定无论是在内容上还是条文上,均占据了相当的部分。证券投资从业者的资格问题,包括什么人以什么方式获得这种资格,以及在什么情况下根据什么理由失去这种资格,对任何国家的证券市场均具有不言而喻的重要性。考虑到英国证券业的悠久历史和发达程度,以及管理证券市场的丰富经验,本文就以英国证券法对这些方面的规定为主题进行探讨。
[Abstract]:The Securities Act of the United Kingdom is composed of a number of separate statutes to the Financial Services Act of 1986. The securities regulatory system under the authority of 1986.Some laws in this system, such as the Friendship Society Act of 1974, Friendly Societies Act, 1974. Insurance companies Act, 1982. The Banking Act 1987, etc., has its own regulations on the securities investment practitioners. But the most comprehensive regulation of this issue is the Financial Services Act of 1986, which deals with investment practitioners in terms of both content and provisions. The question of the qualifications of securities investment practitioners, including who obtained such qualifications in what manner and under what circumstances, for what reasons. The importance of the securities market in any country is self-evident, taking into account the long history and degree of development of the British securities industry, as well as its rich experience in managing the securities market. In this paper, the British Securities Act on these aspects of the provisions of the subject is discussed.
【作者单位】：北京大学法律学系金融法研究中心
【分类号】：D956.1
【正文快照】： 英国证券法是一个由若干单行法规组成的,以《1986年金融服务法》(FinancialServices Act,1986)为统率的证券法规体系。该体系中的若干法律,如《1974年友谊会社法》(Friendly Societies Act。,1974),《1982年保险公司法》(Insuranee Companies.Act,1982),《1987年银行业法~(Ban

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