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Investors Protection and their Self-Responsibility in the New Financial System

新金融体系下的投资者保护及其自身责任

基本信息

批准号：
11620039
负责人：
KAWAHAMA Noboru
金额：
$ 2.11万
依托单位：
KYOTO UNIVERSITY
依托单位国家：
日本
项目类别：
Grant-in-Aid for Scientific Research (C)
财政年份：
1999
资助国家：
日本
起止时间：
1999 至 2002
项目状态：
已结题

项目摘要

In this research, this author make it clear that investor protecitin regime require prudence regulation and reguralition against market abuse as well as broker-dealer regulations. Then the author deal with an analytical evaluation of the significance of the removal of anti-competitive regulation by Japan's Big Bang in the past years, and points out inadequacy of the current state of law in encouraging innovation on the one hand and consumer protection on the other. The author attempt to provide a theoretical picture regarding the effects of modern financial regulation on the competition policy in Japan. In particular, the author notes the issue of how to ensure both maintaining soundness of financial institutions and promoting competition. The author also provides a careful examination of selected issues in applying the Anti-Monopoly Act to the financial services area in Japan, focusing on the difficult issues of defining the relevant market in applying the Act when financial institutions are becoming more and more integrated into the conglomerate fashion, and dealing with network effects in competition law that have been brought in as a result of the advancement of information and communications technology.

在本文中，作者明确了投资者保护制度需要审慎监管和对市场滥用行为的监管以及对经纪商的监管。然后，笔者对日本近年来的Big Bang取消反竞争规制的意义进行了分析评价，指出了现行法律在鼓励创新和保护消费者方面的不足。本文试图从理论上探讨现代金融管制对日本竞争政策的影响。特别是，作者注意到如何确保既保持金融机构的健全，又促进竞争的问题。本文还对日本金融服务业适用《反垄断法》的若干问题进行了探讨，重点讨论了在金融机构日益向集团化方向发展的情况下，如何界定相关市场，以及在竞争法中处理由于信息和通信技术的进步而带来的网络效应。