【作者】 易文松；

【导师】 蒋新苗；

【作者基本信息】 湖南师范大学 ， 民商法学， 2010， 硕士

【摘要】 证券市场在国家经济发展过程中发挥着重要作用,保护中小投资者的合法权益有利于资本市场的健康发展,有必要建立中小投资者保护协会,来维护中小投资者的合法权益。中小投资者是在表决权资本多数决的制度中没有控制力的投资者,中小投资者是在表决权资本多数决的制度中属于少数派的投资者,中小投资者的本质属性就是弱势群体。中小投资者保护协会是由中小投资者以会员身份参加成立的非营利组织,具有独立的法律主体资格,是弱势群体的维权组织。中小投资者保护协、会履行维权职能、组织参与职能和教育职能,代表和帮助中小投资者行使知情权、参与管理权、审议评议权、调查权、诉讼权和惩戒权。中小投资者保护协会在享有权利的同时承担义务,包括主动防范义务、协调配合义务、不得营利义务、风险警示义务、支持保障义务。中小投资者保护协会加强责任治理,违法法律规定,中小投资者保护协会承担相应的民事责任、刑事责任和行政责任。我国中小投资者遭受各种侵害,缺乏有力的法律保护,借鉴其他国家经验,结合我国现实条件的成熟与需求,我国建立中小投资者保护协会已很有必要,并且可行。我国建立中小投资者保护协会需要采取合理有效的措施克服设立障碍和资金障碍等,中小投资者保护协会初步建立后要随着社会发展不断完善,以促进社会和谐发展。更多还原

【Abstract】 Securities market plays an important role in the economic development of our country and protecting the legitimate rights and interests of the minor investors benefits the healthy development of capital market. It is necessary to establish Minor Investors Protection Association to protect the minor investors. The minor investors are the minority with no control in the system of the capital majority voting. The minor investors are Weak Colony which is the essential attribute of the minor investors.The minor investors are members of Minor Investors Protection Association. Minor Investors Protection Association is non-profit organization with independent legal entity status to protect the minor investors. Minor Investors Protection Association takes the functions of protecting、educating、organizing and participating, and represents and helps the minor investors to exercise the right to information、the right of participation in management、the right of considering and appraisal、the right of investigation、the right of litigation and the disciplinary authority. Meanwhile, Minor Investors Protection Association takes the obligations including the obligation of active prevention、the obligation of coordination、the obligation of not profit-making、the obligation of risk alerting、the obligation of supporting and safeguarding. In order to strengthen the governance, Minor Investors Protection Association also bears civil、criminal and administrative liabilities.The minor investors are subjected to various violations in our country because of the lack of effective legal protection. Learning from the experiences of other countries, and combining with the maturity of the actual conditions and needs of our country, our country can establish Minor Investors Protection Association and the establishment is necessary and feasible. The establishment of Minor Investors Protection Association needs for reasonable and effective measures to overcome instauration obstacles and financial barriers.After the initial establishment and with the development of the society, Minor Investors Protection Association will improve continuously and promote social harmony.更多还原