证券营业部托管的若干问题与对策研究

Problems and Solutions on Depository with Securities Brokers

我国证券营业部托管法律依据不健全,法律关系不明确。本文比较研究了中外托管人选任程序、法律地位、托管职责、融资渠道、监管部门定位等问题,并考察我国证券营业部托管的具体实践,分析了我国证券营业部托管存在的问题,提出了改进我国证券营业部托管的相关建议。

In China, there lacks a sound legal basis for securities depository with brokerage branches. By comparing and researching on problems of selection of depository agents, their legal status, depository liabiilities, means of finance and position of regulators under Chinese and foreign context, this paper poses the existing problems in this field in China and gives corresponding suggestion, with an aim to further improve the current situation.