글로버메뉴 바로가기 본문 바로가기 하단메뉴 바로가기

논문검색은 역시 페이퍼서치

> 한국금융법학회 > 금융법연구 > 6권 2호

투자자문업자의 주의의무 -적합성원칙과 설명의무를 중심으로

Obligations of Investment Advisers -Regarding the Suitability Principle and the Duty to Explain under the Capital Market and Financial Investment Business Act

이채진 ( Chae Jin Lee )

- 발행기관 : 한국금융법학회

- 발행년도 : 2009

- 간행물 : 금융법연구, 6권 2호

- 페이지 : pp.286-318 ( 총 33 페이지 )


학술발표대회집, 워크숍 자료집 중 1,2 페이지 논문은 ‘요약’만 제공되는 경우가 있으니,

구매 전에 간행물명, 페이지 수 확인 부탁 드립니다.

7,300
논문제목
초록(외국어)
The Capital Market and Financial Investment Business Act (the Capital Market Act) defines "investment advisers" as a "business that provides advice on the value of financial investment instruments or related judgments over class, item, acquisition, disposition, methods of acquisition or disposition, quantity, price, time, etc. Development of various types of financial investment instruments and their highly complicated structures escalated investors`` reliance on financial professionals. Recently, especially, as demand for investment advisers`` services increases and investment advisers expands their operations, protection of investors under the contractual relationship with investment advisers drew attention in perspective of financial market regulation. The Capital Market Act carries provisions of the suitability principle and duty to explain. While, these two obligations originated from regulation of broker-dealers in the U.S. securities market, the Capital Market Act provides them as applied to all kinds of financial investment business entities. What is more, the financial investment business entities are applied by the provisions when making investment recommendations to non-professional, ordinary investors. Considering, however, the differences in business operations of broker-dealers and investment advisers and the fact that the investment advice of broker-dealers is confined to a particular financial investment instruments while that of investment advisers relates to overall management of the investor`s assets, elements to be considered and disclosed to investors by investment advisers shall be different from those required for broker-dealers. Also, since every professional investor does not have the same level of understanding regarding highly complicated financial investment instruments and they turn to investment advisers when lacking full confidence in their financial experience and knowledge, they need to be included in the scope of investors protected by the suitability rule and duty to explain applicable to investment advisers.

논문정보
  • - 주제 : 사회과학분야 > 법학
  • - 발행기관 : 한국금융법학회
  • - 간행물 : 금융법연구, 6권 2호
  • - 발행년도 : 2009
  • - 페이지 : pp.286-318 ( 총 33 페이지 )
  • - UCI(KEPA) : I410-ECN-0102-2012-320-001815254
저널정보
  • - 주제 : 사회과학분야 > 법학
  • - 성격 : 학술지
  • - 간기 : 연3회
  • - 국내 등재 : KCI 등재
  • - 해외 등재 : -
  • - ISSN : 1738-3706
  • - 수록범위 : 2004–2020
  • - 수록 논문수 : 355