日本金融商品推介销售行为的法律规制——兼述金融商品交易的忠实义务与善管义务  

Japan's financial legal regulating of the merchandise to promote sales activity — and of financial commodity trading, the duty of loyalty and goodnees management obligations

作　　者：贾小雷[1] 刘媛 

机构地区：[1]北京行政学院法学部,北京100044 [2]中国建银投资有限责任公司,北京100031

出　　处：《日本问题研究》2013年第3期81-85,共5页Japanese Research

摘　　要：随着金融市场的专业化、复杂化程度日益提高,在信息、能力、财力等方面处于弱势的金融消费者与金融业者的交易不对等地位凸显。文章主要以日本金融业者的金融商品推介销售行为规制为研究对象,结合日本金融商品交易法的共通行为规范及忠实和善管注意义务进行了分析,认为基于金融消费者的特殊性、金融商品的特殊性以及金融商品交易双方地位的不对等性,应立足于实质的公平和正义的价值取向,在传统民商法的基础上通过矫正交易双方的权利义务配置,通过监管保护、行为规制、权利救济等层面的制度完善和有效运作,以期今后为中国相关立法提供参考。along with the more specialized and complicated financial market, in terms of information, capacity, financial weakness of financial trading the unequal status between the consumers and the financial industry is prominent. This article is mainly about the regulation concerning the promotion of sales activity of Japanese financial industry＇s financial products with common behavior regulation in Janpanese law as the research object, and the duty of loyalty and goodnees management obligations was analyzed, and a duty of care that based on the particularity of financial consumer, financial products and financial commodities trading status between the two sides, we should basing on the value orientation of the substantial fairness and justice, on the basis of the traditional civil law through the correct configuration of the rights and obligations of both parties, through regulation protection, behavior regulation, dimension of right relief system of perfect and effective operation, to establish a fair and reasonable market trading environment.

关 键 词：金融商品 销售规制 忠实义务 善管义务 

分 类 号：D93[政治法律—法学]