Analysis of Hotspots in Banks' Involvement in Securities Business

Author: Cai Yi
Publisher:
Publish Date: 2006-12-01
Features: Financial integration and financial liberalization are the two most striking trends in the international financial field today. The convergence and integration of banking and securities business are the result of these two trends. Against the backdrop of China's evolving legal framework and market development, the integration of banking and securities presents both opportunities and challenges, as well as profits and risks. At the same time, it tests the innovative and transformative capabilities of securities lawmakers and regulators. This book conducts an in-depth study on various theoretical and practical issues of banks participating in securities business using methods such as empirical analysis, historical analysis, comparative research, and case studies. With the participation of banks in securities business as the core research focus, it conducts an empirical analysis and comparative evaluation of the pros and cons of such participation. After summarizing the main models and regulatory approaches of banks participating in securities industries worldwide, it proposes models and regulatory strategies for the integrated operation of banking and securities in China, tailored to the country's specific conditions. Through comparison and reference, the author summarizes reasonable pathways and feasible models for banks to engage in securities business under the current legal framework, and offers several valuable suggestions for reforming the regulatory systems and strategies for new financial groups.