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美国通过证券交易法、投资公司法、投资咨询业者法和自律机构的自律规则,对证券公司在从事综合性证券业时产生的利益冲突,主要通过对证券交易中的信息的非法传输和不当利用、有关人员的交易行为和资金支付三方面进行规制,制度非常完善。并且,美国还对实践中产生的利益冲突而导致投资者损失进行了行政处罚、民事诉讼和其他方法予以补救,其制度建设和处理经验,均值得我国学习。
The United States through the Securities and Exchange Act, the Investment Company Law, Investment Consulting Industry Law and self-regulatory self-regulatory rules, the securities companies in the comprehensive securities industry arising from the conflict of interest, mainly through the illegal exchange of securities transactions and improper use of information , The relevant personnel transactions and payment of funds to regulate the three aspects, the system is perfect. Moreover, the United States has also carried out administrative penalties, civil litigation and other remedies for the loss of investors caused by conflicts of interest arising from its practice. Both its system construction and handling experience are worth studying in our country.