日内瓦证券公约下账户持有人权利保障制度研究  

The Right Protection System to Account Holders Under Geneva Securities Convention

作　　者：王进[1] 

机构地区：[1]武汉大学国际法研究所,湖北武汉430072

出　　处：《武汉理工大学学报（社会科学版）》2012年第3期434-439,共6页Journal of Wuhan University of Technology:Social Sciences Edition

基　　金：国家社会科学基金项目(09AFX004);2011武汉大学博士生自主科学研究项目(201110601020023)

摘　　要：《中介化证券实体规则公约》为保障证券账户持有人充分享有和行使证券权利提供了协调统一的实体法律框架和国际性标准。据此,证券权利保障制度至少包括以下四个方面的内容:账户持有人作为权利主体应对中介化证券享有处分权利和附随权利;中介人应采取措施保障账户持有人行使权利,服从账户持有人的指令,持有或获得充足的证券并依账户持有人权利分配证券;中介人破产时,账户持有人所享有的证券权利可以有效对抗破产管理人和相关中介人的债权人;系统需稳定运行且应遵循终局性原则。至于账户持有人权利的行使方式,中介人义务的履行方式和系统运行规则仍需国内法作出更为具体细致的规定。To guarantee account holders fully enjoy and exercise their security rights,Convention on Substantive Rules for Intermediated Securities offers a harmonious and unified legal framework and a set of international standards.Accordingly,the right protection system includes the following four aspects of content at least:account holders have the right of disposition and rights attached to the intermediated securities;intermediaries must take appropriate measures to enable their account holders to receive and exercise the rights,following account holders' instructions,holding or acquiring sufficient securities and allocating these securities in accordance with account holders' rights;rights and interests are effective against the insolvency administrator and creditors in any insolvency proceeding;securities settlement system or securities clearing system needs operating stably and following the principle of finality.As for the methods to exercise right,perform obligations,or operate system,national law needs to offer more specific and detailed provisions.

关 键 词：中介化证券 账户持有人 中介人 权利保护 

分 类 号：DF438.7[政治法律—经济法学]