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【正文】 )In ve st o rsIn st it u t io n alQu o t e d C o m p a n ie s A cc o u n t a n t s Pe nsi on son St ock M ar k et L awy ers In s ur an c e C o. ( l i fe )and M ut ua l F un dsPr i v at i s ed I nd ustr i e s M erc h ant B anks Priv at e In ve st o rPr evi ou s l y N at i on ali s ed C o m m e rci al B anks D i r ect In dir ectSt o ck M ark et PRIVATE SECTOR Lawyers Accountants Investment Bankers Stock Brokers Commercial Banks Conflict of Interest? Conflict of Interest ? Who is the client? ? Who are the Financial Policeman Responsible to? ? Can Regulation be Protect with Financial Policemen being Proactive? INVESTORS Institutional Private Pensions Insurance Mutual Funds Investors’ Confidence = Investors’ Education Confidence Education I n v e s t o r s Investor Protection/Confidence T r a n s p a r e n c yE d u c a t i o nI n f o r m a t i o n / R e p o r t i n gA n a l y s i sA c c u r a c y o f D a t aD i s c l o s u r e T i m e l i n e s sC o m p e t e t i o n = A c c o u n t a b i l i t y ? Easier and more effective enforcement. ? Increased efficiency reduces costs. ? Improved flexibility of the infrastructure to respond effectively and petitively. Efficient Infrastructure Transparency Accountability Leads to: A Chinese Tailor Made Solution for the Chinese Fund Industry Investors’ behaviour Stock Investors Fund Investors Securities Dealers Brokers Securities Investment Advisors Fund Managers Securities Exchange OTC Futures Exchange SEC/CSRC CBC/PBC WHAT RELEVANCE A PRICE/EARNINGS RATIO? Ch
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