非法證券經(jīng)營活動(dòng)的法律問題研究.pdf

1、華東政法大學(xué)碩士學(xué)位論文非法證券經(jīng)營活動(dòng)的法律問題研究姓名：陳斐申請學(xué)位級(jí)別：碩士專業(yè)：法律經(jīng)濟(jì)法學(xué)指導(dǎo)教師：吳弘20080430LegalstudyonIllegalOperationofSecuritiesBusiness(AbstractofMastersthesis)Major：JutisMasterResearchFields：EconomicalLawAuthor：ChertFeiTutor：ProfessorWuHongO

2、perationofthesecuritiesbusinessisanimportantpartofthesecuritiesmarketWiththewarmupofthesecuritiesmarketandthereboundofinvestors’passion，theillegaloperationofsecuritiesbusinesshasthetendedtospreadagainandseriouslyaffected

3、thenormalorderofsecuritiesmarketandharmedinvestorsrightsandinterestsThelegalregulationofsecuritiesbusinessoperationlinkisoneofthemostimportantcomponentsofsecuritieslegislation，andgainsgreataRentioninthosecountriesnomatte

4、rwhethertheyhavefull—developedsecuritiesmarketornewlycultivatedsecuritiesmarketIllegalsecuritiesbusinessactivitiesrarelyhappenedoutside，howeveralthoughoursecuritiesregulatoryagencieshaveissuedaseriesofnoticesseveraltimes

5、tobantheillegaloperationsofsecuritiesbusiness，thesituationhasnotimprovedBasedonthecomparisonofthesecuritiesbusinessmarketenvironmentandthelegalsystemofothercountriesandregions，andconcerningtheregulmionstatustoillegaloper

6、ationofsecuritiesbusiness，thethesisbringsouttheproposalofthePreventionandPunishmenttotheillegaloperationofsecuritiesbusinessExcepttheintroduction，thisthesisincluded4partsFirstlythedefinitionof”securities”insecuritiesbusi

7、ness，thedistinctionof”lawful”and”illegal”，andtypesofillegaloperationofsecuritiesbusinessFromthecomparativepointofviewthethesisintroducestheillegaloperationofthesecuritiesregulatorysysteminoutsidecountriesSecondlythethesi