法治视野下的证券投资者适当性制度

Suitability of Security Investors in the Vision of the Rule of Law

适当性规则是金融企业和其人员的日常活动准则之一。在完善金融消费者保护立法趋势大背景下,重新审视适当性制度的定位、立法价值以及实施目标十分必要。应借鉴国外最新立法发展动态,深入分析该制度的理论基础,探索强化金融机构适当性义务的现实出路和手段。

The suitability rule is one of daily rules for financial service enterprises and employees. Revisiting its legislative values, propositions and practical targets under the background of financial consumers＇ protections leg- islation movement would be very necessary. By introducing the most updated foreign legislations, the paper analy- zes and points the possible solutions and detailed means for financial institutions to strengthen its suitability obli- gations through theoretical explanation.