| 客户交易资金第三方存管制度研究 |
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| 引用本文： | 蒋忆明,陈忠义,毛宇轩. 客户交易资金第三方存管制度研究[J]. 云南财贸学院学报, 2006, 22(6): 23-29 |
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| 作者姓名： | 蒋忆明 陈忠义 毛宇轩 |
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| 作者单位： | 西南财经大学会计学院 成都610074(蒋忆明，毛宇轩)，国泰君安证券股份有限公司 上海210042(陈忠义) |
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| 摘 要： | 近年来,一些证券公司由于挪用客户资金违规经营而纷纷关闭,严重侵害了广大投资者的利益,影响到中国资本市场的规范和发展,扰乱了国家正常的金融秩序。从保障投资者证券投资资产的安全和完整角度出发,分析了“银证通式”的客户资金第三方存管模式负面影响,讨论了第三方存管模式设计的法律依据和基本原则,并从业务运作流程、方案安全性等方面对第三方存管最优模式进行了总体设计。
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| 关 键 词： | 资本市场 客户交易资金 第三方存管 制度设计 |
| 文章编号： | 1007-5585（2006）06-0023-07 |
| 收稿时间： | 2006-10-23 |
| 修稿时间： | 2006-10-23 |
Research on the Escrow System of Client Transactional Capital |
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| JIANG YI-min,CHEN Zhong-yi,MAO Yu-xuan. Research on the Escrow System of Client Transactional Capital[J]. Journal of Yunnan Finance and Trade Institute, 2006, 22(6): 23-29 |
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| Authors: | JIANG YI-min CHEN Zhong-yi MAO Yu-xuan |
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| Abstract: | In recent years,some securities companies bankrupted because of embezzling the funds of clients which seriously infringed the benefits of the investors.It influenced the discipline and the development of Chinese capital market,and further disturbed the financial order of China.From the angle of guaranteeing the safety and integrity of the investment of investors,the authors analyze the negative effects of escrow system in the mode of "Yinzhengtong",discuss the legal basis and basic principles in the design of escrow system,and a general design of the optimizing model of escrow system is made from the aspects such as business operating process and the safety of the project. |
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| Keywords: | Capital Market Client Transactional Capital Escrow System Design |
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