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학술연구/단체지원/교육 등 연구자 활동을 지속하도록 DBpia가 지원하고 있어요.
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초록· 키워드
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The global financial market is running into a dead heat, a boundary-less competition field, with the development of information communication technologies, financial liberalization, and financial integration. The government had finalized and announced the new administration's economic operation policy at the Economic Policy Control Conference held in March 2003, considering the need to revise the regulations and restrictions on the then-current institutions and products, to reinforce the competitive edge in the global financial market; the government announced their plan to legislate the Integrated Financial Act, the basic strategy of which is to integrate the various financial laws, under the aim of establishing a legal environment that suits the era of integrative financial market and converting the involvement policy based restriction system in the past into a market friendly system. Also, the administration decided to prioritize the integration of Capital Market related laws, which have the biggest need to and effect on integration after long discussions, and announced the legislation of Bill on the Legislation of Laws Regarding the Capital Market and Financial Investment Service Act in June, 2006. The goal of legislating the Capital Market and Financial Investment Service Act is first, to reinforce the capital mediation function, which is weaker compared to that of the indirect financial market, and second, to reinforce protection measures for the investors to vitalize the capital market, preparing a system that provides information to enable the investors to make investment decisions based on sufficient information, with the aim to regulate unfair market activities and conflicts among financial investors as well as find efficient remedies for investors who suffered losses, and third, to reinforce the com petitiveness of the capital market by promoting competition and innovation of the financial investment industry.
The Capital Market and Financial Investment Service Act ① effectively responds to new financial products through a wide-ranged definition of financial investment products, ② classifies the financial investment industry into investment sales industry, investment mediation industry, group investment industry, investment advisory industry, consigned investment industry and trust by converting into a functional restriction system that restricts economically identical financial functions in identical ways, ③ reinforces investor protection measures, ④ and aims to expand the business realm by allowing integrated businesses among different industry sectors.
The objective of this study is to review the key investor protection measures in the Capital Market and Financial Investment Service Act, and to present problems and improvement measures to enable efficient regulation.
The Capital Market and Financial Investment Service Act ① effectively responds to new financial products through a wide-ranged definition of financial investment products, ② classifies the financial investment industry into investment sales industry, investment mediation industry, group investment industry, investment advisory industry, consigned investment industry and trust by converting into a functional restriction system that restricts economically identical financial functions in identical ways, ③ reinforces investor protection measures, ④ and aims to expand the business realm by allowing integrated businesses among different industry sectors.
The objective of this study is to review the key investor protection measures in the Capital Market and Financial Investment Service Act, and to present problems and improvement measures to enable efficient regulation.
목차
Ⅰ. 서론
Ⅱ. 금융투자상품 개념의 포괄화
Ⅲ. 투자자 보호제도의 강화
Ⅳ. 겸영에 따른 이해상충
Ⅴ. 결론
참고문헌
〈Abstract〉
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UCI(KEPA) : I410-ECN-0101-2009-366-016741224