Positive Research And Case Study Of Chinese Securities Middleman System

With the development of Chinese securities market, middlemen have already mounted the securities trade arena although the scale is still very small. The emergence of middleman is the intrinsic demand that our securities market managed the professional work to spread to the deep step, since lacking the correlation statue norm, the contest between the middlemen is in the more confusion condition now. In order to strengthen the monitoring administration to middleman, to help the securities corporation to carry out their work legally, our country should establish the securities middleman's supervising system as quickly as possible.The perfect securities middleman supervising system not only including construct the correlation statue laws and regulations through macroscopic aspect, such as putting into practice the rigorous qualification examination and the registration system, but also including the regulations from microscopic aspect. The microscopic regulations should consists of the training system of the middleman, distribution system of the middleman, the examining system of the securities middleman, the motivating system of the securities middleman, and so on.Earnest research and drawing lessons from the western countries' securities system development experience such as the U.S. and so on, and speeding up to establish and improve the securities service patterns according to the conditions of China is the main task of Chinese securities corporations in nowadays.In order to find a proper securities middleman-servicing pattern for Chinese securities market, this dissertation compared the regulation systems of some of the developed countries about securities middleman. This paper constructs an ideal managing system of securities middle man being based on the correlated securities supervising norm and the operating regulations. I hope it is useful to the securities corporations in China.