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  • About
  • The Global ETD Search service is a free service for researchers to find electronic theses and dissertations. This service is provided by the Networked Digital Library of Theses and Dissertations.
    Our metadata is collected from universities around the world. If you manage a university/consortium/country archive and want to be added, details can be found on the NDLTD website.

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證券市場自律機構對證券商及其人員規範權限之探討 / An analysis of regulatory authorities of self-regulatory institutions of securities market to securities firms and associated personnel

許雅華 Unknown Date (has links)
國際證券管理組織（The International Organization of Securities Commissions, IOSCO）認為自律機構（Self-Regulatory Organization, SRO）是管理證券市場之必要條件之一。我國證券交易法第四、五章對證券商同業公會與證券交易所皆設有專章特別規範，亦可看出自律機構在證券市場的重要性。惟目前臺灣證券交易所、財團法人中華民國證券櫃檯買賣中心及中華民國證券商業同業公會等協助管理證券市場之機構，在法律規範面及執行面皆存有許多待改進之處。本文以證券自律機構對證券商及其人員之管理規範為探討重點，試著從比較立法例說明美國、英國及日本等國家證券市場自律監理制度演變過程及法制規範，並分析探討前述臺灣證券交易所等機構所存在之問題，期能藉由制度比較，整理歸納提出我國證券自律機構在法制架構及實務運作上可供改進之具體建議。
自律機構(組織)
臺灣證券交易所
證券櫃檯買賣中心
中華民國證券商業同業公會
證券商
業務人員
Self-Regulatory Organization
Taiwan Stock Exchange
Gre Tai Securities Market
Taiwan Securities Association
Securities Firms
responsible person

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