자본시장통합법안상 자금수탁자의 의무 도입에 관한 고찰 = The Study on the Introduction of the Fiduciary duty in Capital Market Integration Act(provisional)

다국어 초록 (Multilingual Abstract)

  The Korean government recently has announced the Capital Market Integration Act(provisional) in 2006. While the current restrictive system is basically classified by the different and independent acts in each business field like banks, stocks, insurances, it has integrated the regulations on financial services and allowed financial investment firms to engage in a multiple types of financial businesses, including brokerage. dealing, asset management, advisory services, etc. The integration of laws was motivated by the bigger capital markets and the improvement of the financial services. Even though this integration of financial services may be efficient to the competitive capital markets and the bigger financial firms in the international markets and firms, the conflicts of interest will be caused and remained as the serious matter to reduce the investors" confidence in the financial system. For the investors" protection, it has already suggested several remedies like chinese walls between the various functions of a financial investment firm. However. this measure is not regarded as the proper solution for the conflicts of interest and the investors" protection. Accordingly this study has presented to introduce the fiduciary duty as the conclusive proposal for the conflicts of interest caused by the integration of financial services. because it will effect on control of conflicts of interest and act as a direction of legislation to the investors" protection. Considering institutional and supervisory examples of foreign countries for efficient control of conflicts of interest, the fiduciary duty could be a effective solution. which is divided to the exclusive benefit rule, best execution rule and prudent man rule. Thus. these three rules of the fiduciary duty would act as the important rules for the investors" protection. The introduction of this fiduciary duty will be the remedies in the integrated legislation act and play a rule to promote fair competition. healthy growth and efficient restrictions of our financial market in the future.

목차 (Table of Contents)

• Ⅰ. 서론
  Ⅱ. 금융거래상 이해상충
  Ⅲ. 주요국의 규제사례
  Ⅳ. 자금수탁자의 의무
  Ⅴ. 결론
  [Abstract]