securities act 中文意思是什麼

Part two : definition, characteristics and acting models of securities fraud securities fraud is the act of breaching the securities laws in order to gain illegal interests which is acted by the issuers, the securities institutions, the securities administrators, the securities practician and investors so on

分析了證券欺詐的構成要件進行，欺詐行為的主體有自然人、法人和其他單位，主觀方面只能是故意，侵犯的客觀方面表現為違反相關的法律法規，侵犯的客體有投資者的合法利益和金融管理制度以及證券市場的管理秩序。

A registered representative is someone who is licensed by the securities and exchange commission and the new york stock exchange to act as an account executive ( ae ) for clients of brokerages

注冊代理人是證券交易委員會和紐約證券交易所授權為客戶從事經紀業務的經紀人。

Bauhinia mbs limited bauhinia is a bankruptcy - remote special purpose company formed by the hkmc to act as the vehicle for issuance of mortgage backed securities under the programme

Bauhinia mbs limited 「 bauhinia 」是一間由按揭證券公司專為發行按揭證券而成立，不受破產影的特設公司。

Csfb and ssb engaged in inappropriate spinning of " hot " initial public offering allocations in violation of sro rules requiring adherence to high business standards and just and equitable principles of trade, and the firms books and records relating to certain transactions violated the broker - dealer record - keeping provisions of section 17 of the securities exchange act of 1934 and sro rules nyse rule 440 and nasd rule 3110

面對空中客車公司的激烈競爭，波音與麥道的合併有利於維護美國的航空工業大國地位其次，盡管美國只有波音公司一家干線民用飛機製造企業，但由於存在來自勢均力敵的歐洲空中客車的競爭，波音公司不可能在開放的美國和世界市場上形成絕對壟斷地位。如果波音濫用市場地位提高價格，就相當于把市場拱手讓給空中客車。

Neither the bank, its associates, nor any of their directors, officers or employees, shall be liable to the customer for any expenses, loss or damage suffered by or occasioned to the customer by reason of any action taken or omitted to be taken by any one or all of the bank, its associates, their directors, officers, employees or agents pursuant to these conditions or in connection therewith other than as a result of the fraud, wilful default or negligence of the bank, its associates, their directors, officers, employees or agents ; the bank s failure in good faith to honour any stop - payment instructions given by the customer ; the presentation to the bank of any cheque or other payment order which is post - dated ; the bank failing to honour any draft drawn on it by the customer, but the bank shall immediately return such draft to the customer through the normal channels giving the reason for the dishonour ; any loss, damage, destruction or misdelivery of or to the securities howsoever caused unless the same shall result from the negligence of, or theft by, the bank or its associates or any of their directors, officers or employees, in which event the extent of the liability of the bank shall be limited to the market value of such securities at the date of discovery of the loss and even if the bank has been advised of the possibility of such loss or damage ; unauthorised use or forging of any authorised signature as a result of the negligence, wilful default or fraud of the customer ; subject to condition 5. 5, any act or omission, or insolvency of, any person not associated with the bank including, without limitation, a third party nominee or depositary ; viii the collection or deposit or crediting to the custodian accounts of invalid, fraudulent or forged securities or any entry in the custodian accounts which may be made in connection therewith ; any malfunction of, or error in the transmission of information caused by, any electrical or mechanical machine or system or any interception of communication facilities, abnormal operating conditions, labour difficulties, acts of god, or any similar or dissimilar causes beyond the reasonable control of the bank and notwithstanding paragraph, the error, failure, negligence, act or omission of any other person, system, institution or payment infrastructure

本行其聯系人士其各董事高級人員或雇員均毋須向客戶因以下理由而使客戶蒙受或產生之任何開支損失或虧損負責： i本行其聯系人士其董事高級人員雇員或代理人根據此等條件採取或遺漏採取有關之行動，但由於本行其聯系人士其董事高級人員雇員或代理人之欺詐行為故意失責或疏忽所造成者除外ii本行本真誠地未能依約替客戶執行止付指示iii向本行提交任何遠期支票或其他付款指示iv本行未能兌現由客戶開出之匯票，但本行將立即透過正常渠道將該匯票退回客戶，並解釋拒付之理由v無論如何導致之任何證券之損失損毀毀壞或錯誤交付除非上述各項乃因本行或其聯系人士或其任何董事高級人員或雇員之疏忽或盜竊所引致，而在該等情況下，本行的責任將只限於在發現損失當日該等證券之市值，以及即使本行已獲知該等賠償之可能性vi因客戶之疏忽故意失責或欺詐行為而導致的任何偽造授權簽名或不獲授權使用該簽名vii在第5 . 5 a條之規限下，與本行無關者之任何行動或遺漏或無償債能力包括但不限於第三者代名人或寄存處viii代收或存入或貸存於保管人賬戶的無效偽造或假冒證券或在保管人賬戶記入可能與此有關之賬項ix任何電子機械或系統失靈或因該等機件或系統產生的資料傳送錯誤或任何通訊設施之終斷不正常操作情況勞工問題天災或非本行所能合理控制之任何類似或非類似原因及x盡管有第ix項，任何其他人系統機構或付款設施的錯誤故障疏忽行動或遺漏。

The author of thesis probes into the securities fraud and provides a set of measures to regulate the fraudulent act. the thesis is divided five parts with a total of 30000 words. part one : introduction some questions are provided from all kinds of securities fraudulent incidents

認為證券欺詐有廣義與狹義之分，廣義的證券欺詐是指用明知是錯誤的、虛假的、或是粗心大意製作的、或是隱瞞重大事實的各種陳述、許諾和預測，引誘他人同意收購或買賣證券的行為；狹義的證券欺詐僅指欺詐客戶。

These measures include : make the system of securities laws to perfect, consummate the institutions of the legal person in the listed companies, base securities regulatory authority to regulate the securities market according to law, maintain order of the securities market and ensure the lawful operation of the same, reinforce continuing disclosure of information and the system of financial and accounting reports, make the listed companies shall immediately submit an ad hoc report on the details of such major event to the securities regulatory authority and to the stock exchanging and the same known to the general public, promote investors consciousness of protecting themselves and consummate the civil litigation mechanism to gain compensation and damages, make use of the press to supervise the stock market and reinforce punishment to the persons who act securities fraud

在這些原則的指導下，本文提出了一套規制證券欺詐的具體法律措施.包括健全證券法律體系，做到證券欺詐的規制有法可依;完善上市公司的法人治理結構，建立完善的證券監管體系，尤其對證券業協會的性質、功能和職責從法律上給予明確界定以確保充分發揮證券行業的自律作用，最大限強化信息披露責任，嚴格會計制度，力求信度地避免證券欺詐行為發生;強化信息披露貢任，產格會計刷度，刀水侶息準確，披露及時;增強廣大中小投資者的自我保護意識，完善賠償訴訟機制;依法賦予新聞媒體輿論監督權，充分發揮新聞媒體監督作用;深入研究證券欺詐者心理規律，加強法律懲治力度

Wall street ' s sensitivity to charges that it operates as an underwriting oligopoly dates back at least to the glass - steagall act of 1933 when commercial banks were forced to sell or close their underwriting business, in effect reinforcing the franchises of “ bulge - bracket ” securities firms

華爾街對于指控非常敏感，它作為保險業的寡頭而運轉至少可追溯到1933年的格拉斯-斯蒂格爾法案[ 2 ] ，其時商業銀行被迫出售或者撤銷保險業務，實際上加強了華爾街投資銀行領導集團擔保的公司的特權。

Finally, the constitutive elements of tortious liability of securities fraud involve liable subject, damages, tortious act, causation and fault

最後，證券欺詐侵權責任的構成要件包括責任主體、損害事實、侵權行為、因果關系及過錯。

Legal affairs on securities : act as the legal adviser on stock issuance of a shares and b shares, and the legal adviser for the main underwriter and the listed company ; act as the legal advisers of the domestic company of the listed company in n stock, h stock ; acts as the legal adviser for the company with the rationed shares and main underwriter ; witness the statement and letter of commitment of the directors and supervisors of the listed company ; conduct the legal affairs for the listed company on assets displacement, stock ownership assignment, recombination, acquisition and merger etc

證券法律業務：擔任a股、 b股股票發行、上市中公司和主承銷商的專項法律顧問，擔任n股、 h股上市中公司的國內專項法律顧問，擔任配股中公司和主承銷商的專項法律顧問，見證上市公司的董事、監事聲明及承諾書，辦理上市公司的資產置換、股權轉讓、重組、收購與兼并等法律業務。

That is why the first general principle in the securities futures commission s code of conduct has this to say : " in conducting its business activities, a registered person should act honestly, fairly, and in the interests of its clients and the integrity of the market "

這亦是為何《證券及期貨業務監察委員會注冊人操守準則》的首要原則便列明：注冊人在經營其業務時應以誠實、公平和維護客戶最佳利益的態度行事及確保市場穩健操作。

The staff of the u. s. securities and exchange commission. report and recommendations pursuant to section 401 ( c ) of the sarbanes - oxley act of 2002 on arrangements with off - balance sheet implications, special purpose entities, and transparency of filings by issuers [ r ], usa. 2005, 32 - 38

根據美國的會計規定，可以根據目前市場狀況和對未來的市場預期，將這些與能源有關的合同及衍生工具預計在未來期間實現的收益作為本期收益入賬

In order to compensate investors " damages and punish deceivers " illegal activities, legislators have extended the conception of legal fraud from civil law to securities law. this policy also decides that securities fraud is a given legal definition, which breaks through that on civil juristic act in constitutive elements and legal consequences, and closes to that on law of torts in essence

將民事欺詐的概念延伸至證券領域，主要是為補償投資者的經濟損失和制裁欺詐者的違法行為提供法律依據，這一立法政策決定了證券欺詐是一個特定的法律概念，在構成要件和法律後果兩方面突破了民事法律行為制度中的欺詐，在性質上更接近於侵權法上的欺詐責任。

Article 173 if, during the performance of its functions according to law, the securities regulatory authority under the state council suspects that an illegal act involving securities discovered by it may constitute a criminal offense, it shall hand the case over to a judicial organ for it to handle

第一百七十三條國務院證券監督管理機構依法履行職責，發現證券違法行為涉嫌犯罪的，應當將案件移送司法機關處理。

As far as the stock option is concerned, a company should comply with the securities act of 1933 and the securities exchange act of 1934. the former prescribes the issue of the stock while the latter supervises the exchange of the stock

股票期權的授予規模對于上市公司而言是一個敏感話題，因此受到股東大會和監管機構的嚴格監督，而私人控股公司運用股票期權計劃的力度與廣度則要相對靈活。

However, there were still a lot of questions in the operating of these firms, moreover, the security market act rather bad in the recent years, the risks accumulated in the earlier time have been exposed, some “ troubled - firms ” even been disposed by china ’ s securities regulatory commission by means of closedown. due to the absence of the withdraw mechanism, the troubled - firms could not find a reasonable way of withdrawing in a long period time

目前，我國已經開始了問題證券公司退出實踐的嘗試，由於還未形成系統化的證券公司退出機制，對問題證券公司退市的處置目前還停留于「個案式」階段，並且以行政命令下的撤銷、關閉+託管轉破產等方式為主，違背了市場機制的運行原理，也帶來了許多新的問題。

The securities act of 1933

1933年證券法

The securities will not be and have not been registered under the u. s. securities act of 1933 and may not be offered or sold in the united states absent registration or an applicable exemption from registration requirements

該證券尚未並且將不會根據美國證券管理條例第1933條在美國登記。倘證券並無在美國登記或者獲得登記豁免，任何人不得在美國邀約購買或出售證券。

Except for historical information contained herein, the statements made in this release constitute forward - looking statements within the meaning of section 27a of the securities act of 1933 and section 21e of the securities exchange act of 1934

本新聞稿中除提供歷史性資料外，還根據1933年美國頒布的證券法第27a條款和1934年頒布的證券交易法第21e條款的精神，提出了若干前瞻性觀點。

Except for the historical information contained herein, the statements made in this web site constitute forward - looking statements within the meaning of section 27a of the securities act of 1933 and section 21e of the securities exchange act of 1934 under u. s. federal law

除本條款所含的過往資訊外，本網站所作的聲明為1933年證券法第27條a和1934年證券交易法第21條e所述的前瞻性聲明。