Dissertation
Dissertation > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market

Research on Securities Broking Contracts

Author ChaiYiHui
Tutor SunShuYun;RenLianYou
School Shanxi University
Course Legal
Keywords Securities broking contracts Attribution of law Rights and obligations
CLC F832.51
Type Master's thesis
Year 2011
Downloads 19
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If the vast numbers of investors want to hold securities, withdraw their investment or buy securities in the securities market, they must complete it with the help of securities companies that are the members of the bourse. Securities companies accept the commission of investors and they can buy or sold the securities for the investors in the name of themselves through their dealers in the bourse, these acts are called securities broking acts, and in order to achieve these legal relationship, some contracts, which are called Securities broking contracts are signed.Nowadays, broking-related disputes are emerging:because of the acts of forced open, ultra vires agency, lack of the right to agency trade stocks of the securities companies, many securities broking disputes aroused. However, in relevant legislation, there lacks definite rules on securities broking relationship, the rights and obligations among the parties, legal responsibility and so on, this not only arouse chaos of judicial confusion, but also caused many academic disputes, the scholars researched on the legal status of securities brokers, the relation among brokers and investors,etc. Scholars researched around legal status of securities brokers,the attribute of securities broking contract,the rights and obligations of both parties,the own action standards of brokers and so on. own action standards of relevant brokers and broking scope of securities brokers become mature, but disputes on attribute of securities broking contracts are still existing. By analyzing various views in detail, and practices of securities broking contracts, securities broking contracts should belong to a series of contracts with different legal attributes. Rights and obligations among parties will be straightened out by clear positioning of securities broking contracts. This paper mainly includes five parts:The first part:" Overview of the securities broking contracts ". I started the research by clarify the cocept of securities broking contracts, Then,in order to identify the panorama and concept extension of securities broking contracts,I analyzed phases of securities broking actions. The second part:"Position the attributes of securities broking contract". I analyzed advantages and disadvantages of different theories on attributes of securities broking contracts,such as agency contract theory,intermediary contract theory,trustee-trader theory and so on. Then I made a conclusion: by analyzing from the whole process of securities broking contracts,the securities broking contracts should be attributes to a series of contracts with different legal attributes.The third part:"Rights and obligations of the parties in securities broking contracts ". based on the provement that securities broking contracts are a series of contracts, attributes of different securities broking contracts are analyzed then different rights and obligations of the parties on each stage are cleared.The fourth part:"Rights and obligations of the related third parties in securities broking contracts ". cohabitancy the necessity of the research on status of the related third party in the securities broking business, And go furthur analyzed the rights and obligations of different third parties.The fifth part:"Legislative proposals on how to improve the system of securities broking contracts in our country". I analyzed problems in the securities legislative practices in our country, then,in order to improve our securities broking contacts system, I proposed such legislative suggestions on how to regulate rights and obligations of different parties in securities broking contracts.

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