The legal supervision mechanism of hard wind control skills upgrading

The legal supervision mechanism of internal risk control training to upgrade sina finance App: Live on-line blogger to guide your entries you earn take can make you my newspaper reporter Liu Guofeng – the issue of fraud, insider trading, risk control, research report violations, improper management is not in place appropriate…… In the context of accelerating the legalization of regulation, the securities market violations continue to be severely punished. At present, to strengthen the protection of the rights and interests of investors and the construction of multi-level capital market complement each other, become an important feature of the steady development of the capital market in the new situation. Industry experts said that in the establishment of a sound system of rules, information disclosure in capital market to continue to deepen the reform of administrative punishment mechanism under the requirements of legal supervision will speed up the revision and promote the introduction of relevant laws, to provide institutional guarantee for China’s long-term stable and healthy development of securities market. At the same time, will promote the securities and futures business institutions to strengthen internal control and risk management, on the basis of regulating their own operations continue to stimulate endogenous development momentum. "Law" — the strict supervision in this year to crack down on various illegal acts in action, Xintai electric and related personnel were transferred to the public security organs issued on suspicion of fraud and other related crimes, criminal responsibility shall be investigated according to law, has become an important symbol of the background of China’s securities market "strong legal system" under strict supervision. A brokerage executives said, "Securities Law" the provisions of the relevant civil liability, but the investors in the actual civil claim is not smooth, compensation for the case are not many, the range of the causal relationship between the loss of the court finds that the illegal behavior and damage results to determine the amount of compensation and the behavior of people bear the responsibility the calculation method is not too clear. Xintai electric was forced to withdraw from the market and pursue civil and criminal liability according to law, the process of the reform of the legal system of the securities market. The brokerage believes that investors should speed up promoting the perfection of civil compensation mechanism, building a diversified dispute resolution and judicial relief double protection system, and implement the "Regulations on civil liability of insider trading and other illegal activities in the securities law", to increase the criminal responsibility of efforts to strengthen market supervision, to deter illegal behavior, strengthen the rights and interests of investors protection. At the same time, this year, to perfect the system of securities market mechanism construction continues to accelerate, since June there are 8 provisions to modify or issued and solicit opinions from the public, including the revision of "management measures" major asset restructuring of listed companies, "on the revision of the capital preservation fund issued" guidance ", the securities and futures investors appropriate management measures" etc. a series of management measures or guidance. According to the "measures" to develop appropriate management of securities and futures investors, Professor Liu Junhai of Renmin University of China School of law, said the law is public, as the forced institutions consciously practice appropriate obligations, unified administrative supervision punishment and self-discipline of sanctions scale, "measures" appropriate management of securities and futures investors are the provisions of the CSRC and its dispatched mechanism and self-discipline organization in formulating appropriate regulations, to ensure proper implementation of the system, focusing on high-risk products appropriate arrangements and other aspects of the regulatory and self regulatory responsibilities. In view of the violation of the provisions on the classification of investors and the theory of production相关的主题文章: