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作为投资者保护的重要内容,境外金融立法中均要求市场中介机构履行审慎选择客户的义务,将适当的产品销售给适当的客户。通过借鉴境外相关的立法及监管经验,结合我国目前证券期货市场正在建立的投资者适当性制度,本文提出了监管机构应从投资者保护的角度,通过强制性制度变迁,立足于树立中介机构理性选择客户的理念,建立适合我国国情的合格投资者制度。
As an important part of investor protection, overseas financial legislation requires market intermediaries to fulfill their obligations of prudently choosing customers and selling the right products to the right customers. By referring to relevant foreign legislation and regulatory experience and combining with the current system of investor suitability in the securities and futures market in our country, this paper proposes that regulatory agencies should, through the mandatory institutional change, establish a rational choice of intermediaries from the perspective of investor protection. Customer philosophy, the establishment of qualified investors for our national conditions.