证券商行为规范及法律责任探讨

A Discussion of the Securities Dealers′Behavior and Legal Liability

规范证券商的行为是维护和发展证券市场的重要环节。我国《证券法》强化了对证券商行为的规范及行政责任之规定 ,但弱化了相应的民事责任制度 ,导致法律责任的失衡。建议完善证券商违规的民事责任制度 ,以维护交易秩序和安全。

It is a key link to standardize securities dealers′behavior in the chain of maintaining and developing the securities market. China′s Law of Securities strengthens the regulations on the standards and administrative obligations of securities dealers, but on the other hand, weakens the corresponding system of civil liability, which leads to the imbalance of legal liability. It is suggested that the system of civil liability be bettered in the case of securities dealers′breach of related regulations.