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• W2753484582 abstract "Korean Abstract: 2009년 2월 4일 자본시장의 기능제고와 금융투자업의 발전을 목적으로 시행된 ｢자본시장과 금융투자업에 관한 법률｣(이하 “자본시장법”)에서는 투자자보호장치를 한층 강화하였다. 본고에서는 투자자보호제도를 사전적 보호제도와 사후적 보호제도로 구분하고 자본시장법상 사전적 보호제도의 적정성과 실효성을 검토하고, 주요국들의 투자자보호기금 운영사례와 도입시 고려사항들을 살펴보았다. 경제발전 과정과 금융환경이 상이한 국가들의 투자자보호장치의 적정성을 절대적으로 비교·평가하는 것은 불가능하나, 외국의 투자자보호법제와 비교하였을 때 우리나라의 자본시장법상 투자자보호장치는 이전 수준에 비하여 진일보한 적정한 수준이라고 판단된다. 자본시장법상 적합성원칙, 설명의무 등 투자권유규제나 겸영화에 따른 이해상충 방지 등은 사전적으로 투자자보호를 강화할 것으로 판단된다. 한편, 사후적 보호제도에 해당하는 투자자보호기금은 전술한 사전적 보호제도를 보완하는 역할을 담당한다. 사전적 투자자보호규제를 위반한 금융투자업자가 파산 등으로 인하여 민사적 제재로서의 손해배상책임을 부담할 수 없는 경우 투자자들을 보호하는 기능을 할 것이다. 국내에서 투자자보호기금 설치시 금융투자업자에 대한 건전성 규제의 차이와 투자자 재산의 별도예치에 의한 분별관리제도의 효과 등 다양한 제도적 전제, 투자자보호범위, 현행 예금보험제도의 활용여부 등에 대한 충분한 검토와 논의가 이루어져야 할 것이다.English Abstract: Several devices for investor protection have been introduced in the ‘Financial Investment Services and Capital Markets Act’(hereafter ‘Capital Markets Act’), enacted on February 4, 2009 for the purpose of developing the Korean capital market and financial investment business. This paper divides the investor protection mechanism into pre-emptive and post protection, and reviews the suitability and effectiveness of pre-emptive devices in the Capital Markets Act. It also provides some factors for consideration pertaining to the establishment of an investor protection fund in Korea after reviewing cases in other countries, such as the U.S., U.K. and Japan. Even though it is rather difficult to assess the absolute suitability of the investor protection mechanism in comparison with other countries which have different rates of economic development, and financial market circumstances, it can be said that the Capital Markets Act provides fairly efficient devices for investor protection in Korea such as the suitabilit rule, the mandatory explanation of financial investment products to customers, the know-your-customerrule, prevention of interest conflicts between financial institutions, etc. It is expected to have a wide range strengthening impact on the Korean financial market. On the other hand, the investor protection fund as a device of post protection would close all loopholes of preemptive protection devices. Once a financial investment company that violated the law cannot reimburse their customers due to bankruptcy, the fund will reimburse the customer in place of the bankrupt company. Some considerations, such as the regulatory differences of capital soundness of financial institutions, separate managementof investors' deposits, the scope of investors’ protection, and the existence of a comprehensive deposit insurance system in Korea, should be fully discussed when establishing an investor protection fund." @default.
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• W2753484582 date "2009-01-01" @default.
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• W2753484582 title "(A Study on the Suitability of Investor Protection in the Capital Markets Act)" @default.
• W2753484582 doi "https://doi.org/10.2139/ssrn.3018243" @default.
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