A Comparison of Investor Suitability Policies Between China and the United States and the Path to Improvement

DOI

10.2991/978-2-38476-327-6_27How to use a DOI?

Keywords

Investor suitability; policy comparison; regulatory improvement; information discsure; investor education

Abstract

The purpose of this paper is to compare the investor suitability policies of China and the United States, and to explore the improvement path of China's investor suitability policies. First, it analyzes the differences between China and the U.S. in terms of policy formulation concepts and objectives, investor classification standards, information disclosure requirements, and policy implementation and regulatory mechanisms. The U.S. policy focuses more on market efficiency and investor autonomy in decision-making, while the Chinese policy emphasizes more on protecting the interests of investors, especially small and medium-sized investors. The article then proposes a path for improving China's investor suitability policy, including strengthening regulatory efforts to ensure policy enforcement, increasing transparency and sophistication of information disclosure, and enhancing investor education and risk awareness. Through these measures, it aims to improve market efficiency, protect investors’ rights and interests, and promote the healthy development of financial markets.

Copyright

© 2024 The Author(s)

Open Access

Open Access This chapter is licensed under the terms of the Creative Commons Attribution-NonCommercial 4.0 International License (http://creativecommons.org/licenses/by-nc/4.0/), which permits any noncommercial use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license and indicate if changes were made.

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TY  - CONF
AU  - Xiaorong Qiu
PY  - 2024
DA  - 2024/12/17
TI  - A Comparison of Investor Suitability Policies Between China and the United States and the Path to Improvement
BT  - Proceedings of the 2024 4th International Conference on Social Development and Media Communication (SDMC 2024)
PB  - Atlantis Press
SP  - 224
EP  - 229
SN  - 2352-5398
UR  - https://doi.org/10.2991/978-2-38476-327-6_27
DO  - 10.2991/978-2-38476-327-6_27
ID  - Qiu2024
ER  -