论证 券市场中小投资者的权益保护-区域经济学专业论文.docxVIP

周甫军 周甫军 复旦大学硕士毕业论文：论证券市场中小投资者的权益保护 摘 要 在以散户为主体的我国证券市场，从买卖证券这种商品的角度讲，广大中小 投资者则是证券市场的主要“消费群体”，同时也是一个弱势群体。因此，探讨 保护中小投资者利益，具有特别意义。 本文以保护中小投资者利益为主线，回顾了中小投资者利益得不到充分保证 的现状，论述了保护中小投资者利益的重要性。从信息不对称、观念不对称、政 策不对称、资金不对称、股权不对称以及回报不对称六个方面分析了中小投资者 的弱势。给出了保护中小型投资者利益的政策方法(修改《证券法》、健全证券民 事赔偿机制、健全股市机制、成立中小投资者保护协会、设立投资者权益保护FI)、 实务方法(以机构投资形式来保护中小型投资者利益、以管理账户的形式来保护中 小型投资者利益、共同诉讼能够更好地保护中小投资者的利益、加强对投资者教 育)和技术方法(基于多主体的股票交易决策支持体系的分析、构建)。 中小投资者利益的保护是一项系统工程。正是基于这一点，本文从政策方法、 实务方法及技术方法三个方面提出了一些建议。中小投资者利益的保护，应该是 以政策为保证、以实务为基础、以技术为依托的完整意义上的保护。 关键宇：中小投资者，证券市场、证券民事赔偿机制、机构投资者、共同诉讼 周甫军 周甫军 复旦大学硕士毕业论文：论证券市场中小投资者的权益保护 Abstract n our stock market whose principal part is dispersive customers from the term of merchandising stock．1arge numbers of secondary and smalI investors are both the dominating consumptive colony and puny colony．It is very important to discuss the protecting the benefit of secondary and small investors The major content of this paper is protecting the benefit of secondary and small investors At first，this paper reviewed the actuality that the benefit of secondary and small investors was not protected effectively,discussed the necessary condition of protecting the benefit of secondary and small investors．At second，this paper analyzed the puny weight of secondary and small investors from six aspects．They are dissymmetry of information、 dissymmetry of conception、dissymmetry of policy、dissymmetry of capital、dissymmetry of stock right and dissymmetry of return．At third，this paper gave five policy solutions They are amend stock law、consummate the mechanism of stock civil compensation、consummate the mechanism of stock market、establish the association of protecting the benefit of seconda ry and small investors and set up rights and interests day of investor．At forth，this paper gave four practical solutions．They are institution investor instead of dispersive customers、managing account instead of dispersive customers、litigation together and strengthen the education to secondary and small invest