1. The concept of law
Laws are formulated or recognized by the state and enforced by the state , reflecting the will of the ruling class determined by specific material living conditions, with rights and obligations as the content , to confirm, protect and develop social relations and social relations that are beneficial to the ruling class. A normative system for the purpose of order .
2. Characteristics of Law
Normative
national will
rights, obligations
National mandatory
Overview of Legal Relationships
1. The concept of legal relationship
Legal relationship is a social relationship formed on the basis of legal norms and contented with rights and obligations.
2. Characteristics of the legal relationship
A social relationship formed on the basis of legal norms
A social relationship with rights and obligations as its content
social relationship between legal subjects
3. Types of legal relationship
By department _
Constitutional legal relationship
Civil and Commercial Legal Relations
Administrative legal relationship
Labor law relationship
Litigation legal relationship
by how it happens
Confirmation of legal relationship (always existing)
Creative legal relationship (nascent)
According to the status of the legal subject
vertical legal relationship
horizontal legal relationship
Divided by the number of subjects
bilateral legal relationship
changeable legal relationship
by causality _
Primary legal relationship (main legal relationship)
Secondary legal relationship (from legal relationship)
4. Basic composition of legal relationship
main body
Concept: a person who enjoys rights and assumes obligations in the law , referred to as "legal subject" for short
type:
1. Natural person
2. Organization
3. Country
Qualifications: capacity for rights and capacity for conduct (not synchronized for natural persons)
object
Concept: the object to which the rights and obligations of the legal relationship subject are directed (the prerequisite for the creation and existence of the legal relationship)
type:
1. things
2. Personal body, personality
3. Spiritual achievement (an important object of intellectual property rights such as copyright, trademark right, and patent right)
4. Behavior
content
Refers to the rights and obligations in a legal relationship
occiput
Composition of Securities Market Laws and Regulations
Law - National People's Congress or Standing Committee of the National People's Congress
Administrative Regulations - State Council
Departmental Regulations - Component Departments of the State Council, Special Institutions Directly under the State Council, and the China Securities Regulatory Commission
Regulatory documents - relevant departments or institutions with administrative functions
Industry self-regulatory rules - industry self-regulatory organizations
law
"Securities Law ", " Company Law ", " Criminal Law ", "Securities Investment Fund Law of the People's Republic of China ", "Trust Law of the People's Republic of China "
Administrative regulations
" Regulations on the Supervision and Administration of Securities Companies ", " Regulations on Risk Disposal of Securities Companies ", " Interim Measures for the Management of Securities and Futures Investment Consulting ", " Interim Measures for the Management of Stock Exchange Risk Funds ", " Regulations on the Management of Futures Trading ", and "Regulations on the Management of Corporate Bonds"
Departmental rules
" Measures for the Compliance Management of Securities Companies and Securities Investment Fund Management Companies ", " Measures for the Suitability Management of Securities and Futures Investors ", "Administrative Measures for Securities Investment Fund Management Companies ", " Interim Measures for the Supervision and Administration of Private Equity Investment Funds ", " Management Measures for Risk Control Indicators of Securities Companies" "" Several Provisions on the Stock Connect Mechanism between the Mainland and Hong Kong Stock Markets "
Normative documents
" Guidelines for Internal Control of Securities Companies " and " Governance Guidelines for Securities Companies "
Industry self-discipline rules
(1 ) Self-regulatory rules formulated by the stock exchange
(2 ) Self-discipline rules formulated by the Securities Association of China
(3) Self-regulatory rules formulated by China Securities Depository and Clearing Corporation Limited
