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1、“THE AUSTRALIAN POLICY APPROACH TO INVESTOR PROTECTION” 澳大利亚的政策措施澳大利亚的政策措施保护投资者保护投资者Presented by Geoff Miller, Australian Treasury主讲人：澳大利亚国库部梅杰夫AUSTRALIAS INVESTOR PROTECTION REGIME 澳大利亚保护投资者的体制澳大利亚保护投资者的体制Fair treatment for all investors 对于所有投资者一视同仁Maintaining investor confidence 维护投资者信心FINANCIAL S
2、ERVICES REFORM ACT 金融服务改革法金融服务改革法One, single, national regime to regulate financial service providers 唯一的、独立的、全国性的规范金融服务供应商的体制Covers licensing, conduct, advice, disclosure, and dispute resolution涵盖颁发执照、行为准则、建议、信息披露和纠纷调解各个方面 FINANCIAL SERVICES REFORM ACT 金融服务改革法金融服务改革法Financial service providers incl
3、ude someone who金融服务供应商包括以下从业人员:Provides financial product advice;就金融产品提供建议的人员；Deals in financial products;负责金融产品交易的人员；Makes a market for a financial product; or为金融产品坐庄开价的人员；或者 Operates a managed investment scheme. 管理投资规划的人员FINANCIAL SERVICES REFORM ACT 金融服务改革法金融服务改革法Financial products include金融产品包括:
4、Bank accounts 银行账户;Securities 证券;Derivatives 衍生产品; Insurance 保险;Superannuation; and养老金，以及Managed investments 托管投资 LICENSING REQUIREMENTS颁发执照的要求颁发执照的要求 General conduct requirements总体行为要求Dispute resolution processes纠纷调解程序Disclosure requirements信息披露要求 GENERAL CONDUCT REQUIREMENTS 总体行为要求总体行为要求Must act e
5、fficiently, honestly and fairly in their dealing with clients必须在与客户的交往中保持高效、诚实和公平Must comply with all relevant laws必须遵守所有相关法规Must have arrangements in place to deal with conflicts of interest必须事先具有处理利益冲突的计划Must have adequate resources and competency to provide the financial advice必须具有充足的资源和能力提供金融方面的
6、建议 DISPUTE RESOLUTION纠纷调解纠纷调解 All financial service providers must have both internal and external dispute resolution所有的金融服务供应商必须同时拥有内部和外部的纠纷调解机制 Quick and inexpensive快捷、费用适中 DISCLOSURE REQUIREMENTS 信息披露的要求信息披露的要求Information about the company公司信息Product disclosure statement产品信息披露的声明Basis for persona
7、l financial advice个人的金融建议的根据FINANCIAL SERVICES WORKING GROUP 金融服务工作组金融服务工作组Short, simple and readable disclosure documents简明、扼要、清晰易懂的信息披露文件THE FUTURE 将来的目标将来的目标Processes to remove outdated managed investment products消除过期的托管投资产品的程序Harmonising regulatory regimes for promissory notes and debentures统一对于约定性文件和借据的规定 OUR GOAL 我们的目标我们的目标A fair marketplace for all Australians对于所有澳大利亚人都公平的市场系统
