论证券法上的“中国墙”制度

"中国墙"是英美等国证券制度中的一个特定术语,它是指综合性券商将其内部可能发生利益冲突的各项职能相互隔离,以防止敏感信息在这些职能部门之间相互流动所做的一种制度。本文概述了中国墙的起源、该制度在美国法和英国法上的体现"中国墙"的内容。在此基础上,笔者提出了重构"中国墙"的建议。

The "Chinese Wall" System in the Field of Security Law

"Chinese Wall" is a special term used in the security law in Anglo-American law system.It is a system with which the synthetical security dealers separate the inside functions that may have interest conflicts with each other,and avoid the fluxion of sensitive information during these functional departments.This article introduces the source of the "Chinese Wall",it's embodiment in the Anglo-American law system,and it's content.On this basis,the article also gives some suggestions on re-construction of the "Chinese Wall".