Comparison of Law of Financial Transaction in the era of financial intermediary in Japan and the U.S.

日美金融中介时代金融交易法比较

• 批准号: 13620052
• 负责人: KINAMI Atsushi
• 金额: $ 1.79万
• 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: 2001
• 资助国家: 日本
• 起止时间: 2001 至 2002
• 项目状态: 已结题
• 来源: https://kaken.nii.ac.jp/grant/KAKENHI-PROJECT-13620052/
• 关键词: Law of Financial Transaction Financial Intermediary; Financial Transaction; American Law; アメリカ法; 金融法; 信託法; アメリカ

Division of labor in decision-making about investment is prevalent so that financial institutions play so important a role in meditating between those who provide capital and those who manage capital that they are integral to our daily life. Familiar examples of them are commercial banks and trust companies. Focusing on the way the law can protect legitimate expectation of the capital provider this research aimed at comparative understanding of the role of financial intermediaries that act for the capital provider in Japan and the United States. The way the language of law describes rights of various kinds of capital providers and the similarities and differences owing to choice of formulation for such description were examined closely. The contents of the rights of different kinds of capital providers, mechanisms for enforcement, and intrinsic limitations were closely scrutinized. The findings are summarized as follows: (1) It is essential for full protection of the rights of the capital provider to ensure that financial intermediaries shall meet the expectation of the law that formulate such rights in addition to the full exposition of such rights; and (2) It is as much necessary to set an environment that shall motivate them to meet such expectation, and to spell out the rules of sound business practices and the financial strength of the intermediary and to enforce them effectively.

投资决策中的劳动分工很普遍，因此金融机构在提供资本和管理资本的人之间发挥着重要的作用，它们是我们日常生活中不可或缺的一部分。商业银行和信托公司就是这方面的常见例子。本研究着眼于法律如何保护资本提供者的正当期待，旨在比较理解日本和美国代表资本提供者的金融中介机构的作用。对法律语言描述各类资本提供者权利的方式以及这种描述的措辞选择所造成的异同进行了认真的审查。对不同类型的资本提供者的权利内容、执行机制和内在限制进行了仔细审查。（1）要充分保护资本提供者的权利，除了充分阐明资本提供者的权利外，还必须确保金融中介机构满足制定资本提供者权利的法律的期望;以及（2）同样有必要建立一个激励他们满足这种期望的环境，并阐明健全的商业行为规则和中介机构的财务实力，并有效地执行这些规则。

项目成果

木南 敦: "受託者が信託により受益者に対して負う債務と相殺(上)"金融法務事情. 1661. 6-16 (2002)

Atsushi Kinami：“抵消受托人欠信托受益人的债务（第 1 部分）”《金融法律事务杂志》1661. 6-16 (2002)。

木南 敦: "受託者が信託により受益者に対して負う債務と相殺(下)"金融法務事情. 1662. 51-55 (2002)

Atsushi Kinami：“受托人对信托受益人的义务和抵消（第 2 部分）”《金融法律事务杂志》1662. 51-55 (2002)。

木南 敦: "受託者が信託により受益者に対して負う債務と相殺(上)"旬刊金融法務事情. 1661号. 6-16 (2002)

Atsushi Kinami：“抵消受托人欠信托受益人的债务（第 1 部分）” Junkan Kinyu Hou Jijo 1661 No. 6-16 (2002)。

Atsushi Kinami: "set-off between beneficiary's rights against trustee and trustee's claim against beneficiary Part2"Kinyu Home Jijo. 1662. 51-55 (2002)

Atsushi Kinami：“受益人对受托人的权利与受托人对受益人的索赔之间的抵消第2部分”Kinyu Home Jijo。

Atsushi Kinami: "set-off between beneficiary's rights against trustee and trustee's claim against beneficiary Part1"Kinyu Home Jijo. 1661. 6-16 (2002)

Atsushi Kinami：“受益人对受托人的权利与受托人对受益人的索赔之间的抵销第 1 部分”Kinyu Home Jijo。