CAJ | 학술논문

当前,我国证券公司欺诈客户防范制度存在诸多问题。由于证券公司在治理结构上存在严重缺陷,加之证券公司违规成本过低,导致证券公司挪用客户交易资金的现象时有发生;在立法上,在证券公司欺诈客户的范围方面,法律和行政法规的规定相互重叠;在实践中,有的证券公司为拉拢客户,而进行不正当竞争。况且,根据现行法律规定,证券公司一旦发生欺诈客户的情形时,对其赔偿范围和损失计算都是非常困难的。鉴于此,有必要进一步完善证券公司公司治理结构,完善证券公司欺诈客户的民事责任,明确证券公司欺诈客户的范围等。
당전,아국증권공사기사객호방범제도존재제다문제。유우증권공사재치리결구상존재엄중결함,가지증권공사위규성본과저,도치증권공사나용객호교역자금적현상시유발생;재입법상,재증권공사기사객호적범위방면,법률화행정법규적규정상호중첩;재실천중,유적증권공사위랍롱객호,이진행불정당경쟁。황차,근거현행법률규정,증권공사일단발생기사객호적정형시,대기배상범위화손실계산도시비상곤난적。감우차,유필요진일보완선증권공사공사치리결구,완선증권공사기사객호적민사책임,명학증권공사기사객호적범위등。
Precautions against fraud committed by securities companies in China need to be improved.Serious drawbacks of management structure and low cost of regulation violation result in frequent misappropriation of clients＇ transactional capital.As for the legislation,present laws and administrative rules concerning with the scope of guilty of fraud are overlapped.In order to attract more clients,unfair competitions are often conducted.Once the fraud is committed,the scope and losses are hard to be defined and calculated.Therefore,it is necessary to perfect the management structure of securities companies and clearly define their civil responsibility and the scope of fraud.