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我国证券行业自2012年行业创新大会召开以来,已全面迈入创新转型发展之路,具有复杂交易结构、依托于互联网等新型业务媒介的创新产品、服务不断推向市场。在此过程中,客户适当性管理对于维护投资者合法权益的重要性与必要性已得到了行业的广泛认同。然而,应当如何清晰的界定证券公司适当性管理法律责任,目前尚不十分明确。本文从适当性管理理念的变迁入手,结合境外资本市场先进经验,对证券公司适当性管理理念问题以及相应的法律责任进行了辨析,并提出了相关建议。
Since the industry innovation conference was held in 2012, China’s securities industry has entered the path of innovation and transformation. It has a complex transaction structure and relies on innovative products such as the Internet and other new business media to continuously push the market to the market. In this process, the importance and necessity of customer proper management for safeguarding the legitimate rights and interests of investors have been widely recognized by the industry. However, it is not yet clear how to clearly define the legal liability of securities companies for their proper management. Starting with the change of the concept of appropriate management and combining the advanced experience of overseas capital markets, this paper analyzes the concept of appropriate management of securities companies and corresponding legal responsibilities, and puts forward some suggestions.