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有價證券推介規範之研究－以證券投資顧問事業討論為中心 = The res...

劉榮昇

有價證券推介規範之研究－以證券投資顧問事業討論為中心 = The research of Negotiable securities recommendation standard-Take Investment adviser discussion as the center

紀錄類型:	書目-語言資料,印刷品 : 單行本
並列題名:	The research of Negotiable securities recommendation standard-Take Investment adviser discussion as the center
作者:	劉榮昇,
其他團體作者:	國立高雄大學
出版地:	[高雄市]
出版者:	撰者;
出版年:	2009[民98]
面頁冊數:	233面圖、表 : 30公分;
標題:	有價證券
標題:	Internet
附註:	指導教授：姚志明
附註:	參考書目：面
摘要註:	本論文研究之有價證券推介規範，主要以證券投資顧問事業推介行為規範為討論中心。隨著經濟起飛，人民財富增加，人民有閒置財產得以投入證券市場。惟證券市場所充斥著各式各樣之證券資訊，不僅具有專業複雜之特性，亦可能係虛偽不實，因而，投資人於將資金投入證券市場前，勢必求助於專業之證券投資顧問事業，俾使其得以作成正確之投資決定。因為證券投資顧問事業係為一專業機構，投資人對其所提供之意見，勢必相當倚賴，故如證券投資顧問事業為不實之推介行為，投資人一定會遭受到相當慘重之損害，因此，對於證券投資顧問事業所為之有價證券推介行為，即有其規範必要性。本論文主要即在證券投資顧問事業之行為規範，希望透過本文之探討，得以對於證券投資顧問事業有價證券推介行為規範有所了解，並以此了解現行規範制度之下，是否仍有修法之必要。再者，財經電視節目對於投資人之投資決定，往往具有一定之影響力，我國財經電視節目之法制規範為何，本論文亦加以討論。此外，隨著網際網路興起，多數投資人大多會利用網際網路瀏覽有價證券訊息，而究竟網際網路之興起，對於證券投資顧問事業推介有價證券之衝擊為何，本論文一併探討之。有關證券投資顧問事業有價證券推介行為規範，本文各章節之安排，說明如下：第一章主要敘述有關撰寫本文之動機、研究方法等；第二章則闡明關於本論文之基本概念；第三章則在探討有關證券投資顧問事業之行為規範，並兼論我國財經電視節目之管制規範；第四章在探討關於證券投資顧問事業在網際網路推介規範之相關問題；第五章為本論文之結論，簡述本論文所敘及之重點，並提出本論文認為現行規範有修改之部分。 This article is about the behavior standard of negotiable securities recommendation which investment adviser offers for investors. Following the take-off in economic development, people increase the property and put the spare money into the stock market. Nevertheless, the stock market is full of all kinds of information that are not only specialized and complicated, but sometimes false also. Therefore, it becomes inevitably that the investors will seek certain investment adviser’s opinion before they invest so that the opinion can help them make the correct decision. Due to this, the investors rely on the opinion that the adviser provides deeply. If the investment adviser suggests wrong recommendation, the investor certainly will be exposed to quite serious harm. Consequently, the recommendation-behavior of investment adviser is necessarily to be controlled. This article mainly discusses the behavior standard of the investment adviser. Hope to have a profound understanding with the behavior standard of Investment adviser, so that we can know whether the present laws need to be amended or not.Furthermore, the financial television programs have certain influence on the investor’s decision. The article also performs to discuss what the legal system standard of financial television program in our country. In addition, along with the Internet emerging, what the impact on investment adviser also discussed in the article.The arrangement of this article varied several chapters as follow: The first chapter mainly narrates the research motive and the technique of this article. The second chapter exposes the basic concept in the present paper. The third chapter discusses the behavior standards of investment adviser and the regulations of financial television program in our country currently. The fourth chapter discusses related questions about investment adviser in Internet recommendation. The fifth chapter is the conclusion of the procedure.

有價證券推介規範之研究－以證券投資顧問事業討論為中心 = The research of Negotiable securities recommendation standard-Take Investment adviser discussion as the center
劉, 榮昇

有價證券推介規範之研究－以證券投資顧問事業討論為中心 = The research of Negotiable securities recommendation standard-Take Investment adviser discussion as the center / 劉榮昇撰 - [高雄市] : 撰者, 2009[民98]. - 233面 ; 圖、表 ; 30公分.
指導教授：姚志明參考書目：面.
有價證券Internet

有價證券推介規範之研究－以證券投資顧問事業討論為中心 = The research of Negotiable securities recommendation standard-Take Investment adviser discussion as the center
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