证券经纪人代客理财的风险及对策

Risk and Countermeasure of Securities Broker's Financing for Clients

在追求利益最大化的投资市场中,股市波动导致证券经纪人私下代客理财,这一违规行为无论是对于投资者个人,还是市场经济秩序,都具有很高的风险。应建立相关法律法规,明确监管部门,加强规定和管理,并进行普法宣传,从而最大限度地防范潜在风险,保障投资者的权益。

In the pursuit of maximizing the benefits of investment market, stock market volatility has caused securi- ties brokers＇ financing for clients in private. Such illegal behavior can result in high risks for both the individual in- vestor and the order of the market economy. We should establish relevant laws and regulations, make clear regulatory authorities, strengthen of potential risks and regulations and management, and conduct law popularization so as to maximize the prevention protect the interests of investors.