Author(s)

Jingru Yang ¹

Affiliation(s)

¹ Guangdong Mingsi Law Firm (Fang&Fang Law Firm), Guangzhou, Guangdong, 510623, China

Corresponding Author

Jingru Yang

ABSTRACT

With the increasing integration of global financial markets, cross-border securities investment has become a significant component of international capital flows. However, this process is accompanied by complex legal risks, including uncertainties in legal application, regulatory compliance challenges, difficulties in contract enforcement, inadequate investor protection, tax issues, and political and economic risks. This paper aims to comprehensively analyze the legal risks of cross-border securities investment and propose corresponding compliance strategies. By delving into the international legal framework, domestic legal environments of various countries, and international financial market rules, this paper identifies the main legal risks encountered in cross-border investments. On this basis, a series of compliance strategies are proposed, including legal due diligence, risk assessment and management, compliance system construction, cross-border cooperation and communication, investor education and protection, and contingency plans for unexpected events. 

KEYWORDS

Cross-border Securities Investment; Legal Risks; Compliance Strategies; International Legal Framework; Risk Management

CITE THIS PAPER

Jingru Yang, Legal Risks and Compliance Strategies in Cross-Border Securities Investment. Science of Law Journal (2024) Vol. 3: 121-125. DOI: http://dx.doi.org/DOI: 10.23977/law.2024.030518.

REFERENCES

[1] Chen Yuanhao. Research on the Regulatory Legal System of Stock Return Swaps [D]. Shanghai Normal University, 2023. DOI: 10.27312/d.cnki.gshsu.2023.000187.
[2] Deng Wenjuan. Research on the Legal System of Renminbi Funds Repatriation from Overseas [D]. East China University of Political Science and Law, 2014. 
[3] Li Qian. Research on Legal Issues of Offshore Renminbi Syndicated Loans [D]. Fudan University, 2015.
[4] Wang Linfeng. Research on Legal Issues of Personal Financial Services in China's Commercial Banks [D]. Lanzhou University of Finance and Economics, 2011.

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