證券業者의 不當한 投資勸誘行爲의 合理的 規制方案

• 영문명: A Proposal for reasonable Regulating to the Unfair Solicitation of Securities Transactions of the Securities Company
• 발행기관: 한국사법학회(구 한국비교사법학회)
• 저자명: 정준우(Joon-Woo Chung)
• 간행물 정보: 『비교사법』비교사법 제11권 3호, 427~460쪽, 전체 34쪽
• 주제분류: 법학 > 법학
• 파일형태: PDF
• 발행일자: 2004.09.01

영문 초록

The purpose of the Securities and Exchange Act(SEA) is to contribute to the development of the national economy by achieving wide and orderly circulation of securities and by protecting investors through the fair issuance, purchase, sale or other transactions of securities. Therefore a securities company, or officers and employees thereof shall not commit such acts to solicit securities transactions by promising a customer to assume all or a part of the losses incurred as a result of the transaction concerned(SEA §52). In recent years, however, the economic conditions of the internal and overseas securities markets around securities transaction and securities investment are quickly changed and the competition between securities companies is getting fiercer. So the unfair solicitation of securities transactions, which belongs to an act violating the duty of explanation and suitability rule, is still performed by securities company, or officers and employees. For the sound development of securities transaction market, however, is to function effectively as a place of financing and asset management, it is very important to secure the investor's trust and to regulate unfair recommendation of securities transactions like guarantee of the profit. But the unfair securities exchange solicitation by promising a customer to assume all or a part of the losses incurred as a result of the transaction concerned is still practicing in korea. The investors, which suffered loss from the unfair solicitation of securities transactions by securities company, accordingly demand damages against the securities corporation based on the violating the duty of explanation and suitability rule. In this paper, I investigated the legal problems of provisions of the SEA on the unfair solicitation of securities transactions by securities company and analyzed the duty of explanation and suitability rule in soliciting securities transactions. And I suggested the settlement methods of the problems and the device of raising efficiency of regulation to unfair solicitation of securities transactions in comparison with the Securities Exchange Act of Japan and U.S.A.

목차

Ⅰ. 序 說

Ⅱ. 不當한 投資勸誘 規制와 投資者保護

Ⅲ. 不當한 投資勸誘行爲와 그 責任

Ⅳ. 結 論

參 考 文 獻

【ABSTRACT】