证券商行为规范及法律责任探讨

• 作 者: 钟明霞
• 机 构: 深圳大学法学院!广东深圳518060
• 出 处: 深圳大学学报(人文社会科学版)
• 发表日期: 2000年01期
• 关键词: 证券法 证券商 民事责任制度 行为规范 证券市场 操纵市场 法律责任 证券交易 证券立法 证券经营机构

规范证券商的行为是维护和发展证券市场的重要环节。我国《证券法》强化了对证券商行为的规范及行政责任之规定 ,但弱化了相应的民事责任制度 ,导致法律责任的失衡。建议完善证券商违规的民事责任制度 ,以维护交易秩序和安全。

To regulate the behavior of securities firms is an important part of maintaining and developing the securities market. China’s “Securities Law” has strengthened the regulation of securities firms’ behavior and their administrative responsibilities, but has weakened the corresponding civil liability system, resulting in an imbalance of legal responsibilities. It is suggested to improve the civil liability system of securities companies in violation of rules in order to maintain the order and safety of transactions.