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正式成为世贸组织的成员国、世贸组织确立的基本贸易原则必将对我国的经济和法制发展产生重大影响。世贸组织的基本贸易规则统一化、国际化的产物,代表了世界经济趋同化发展的方向。结合世贸组织规则确立的基本权利和义务,重新审视我国证券法的现状和问题,能够对我国金融证券制度的完善产生重要的借鉴作用。与我国加入世贸组织所做出的承诺义务相比,现行的《证券法》还存在下列不足之处:1、适用范围比较狭窄。《证券法》第二条规定,《证券法》所调整的证券仅指“在中国境内的公司股票、公司债券和国务院依法认定的其他证券”。实际上,该规定不适用于投资基金、期货交易及其他衍生金融工具(如期权)。然而,根据中美关于中国加入世贸组织协议细则中证券业的内容来看,中国将允许外资少量持股的中外合资企业从事基金管理业务,享受与国内基金公司相同
Formally become a member of the WTO, the WTO established the principle of basic trade will have a significant impact on China’s economic and legal development. The unification and internationalization of the WTO’s basic trade rules represent the direction of convergence in the world economy. Combined with the basic rights and obligations established by the WTO rules, we can re-examine the status quo and problems of the securities law in our country and have an important reference to the perfection of our country’s financial securities system. Compared with the commitments made by China’s accession to the WTO, the existing “Securities Law” still has the following deficiencies: 1. The scope of application is relatively narrow. Article 2 of the Securities Law stipulates that the securities regulated by the Securities Law refer only to “the shares of the company in China, corporate bonds and other securities legally recognized by the State Council.” In fact, the rule does not apply to investment funds, futures trading and other derivative financial instruments (such as options). However, judging from the contents of the securities industry in China and the United States on the details of China’s accession to the WTO agreement, China will allow a small number of foreign-funded Sino-foreign joint ventures to conduct fund management businesses and enjoy the same advantages as domestic fund companies