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为维护金融市场的繁荣稳定,保护投资者合法利益,香港地区金融管理局、证监会等部门逐步加强对投资产品尤其是衍生产品的监管,通过一系列法规、守则、指引等逐步建立了香港地区的证券投资者适当管理制度。本文建议中国内地借鉴投资者适当性制度在香港地区的实践经验,强化中介机构适当性管理的义务,明确违规机构或个人的法律责任,明确中介机构在开户、客户交易过程中应承担的责任,从法律层面明确我国内地的衍生品市场尤其是金融期货市场投资者适当性制度。
In order to safeguard the prosperity and stability of financial markets and protect the legitimate interests of investors, the Hong Kong Monetary Authority, the SFC and other departments have gradually stepped up their supervision of investment products, especially derivatives, and gradually established Hong Kong through a series of laws, codes and guidelines The securities investor’s proper management system. This article suggests that Mainland China should learn from the practical experience of the system of investor suitability in Hong Kong, strengthen the obligation of proper agency management of intermediaries, clarify the legal responsibilities of violating agencies or individuals, clarify the responsibilities that intermediaries should take in opening accounts and dealing with customers, From the legal level, make it clear that the derivatives market in China’s Mainland, especially the financial futures market, is an appropriate system for investors.