PERAN DAN TANGGUNG JAWAB WAKIL PERANTARA PEDAGANG EFEK DALAM TERJADI KESALAHAN PROSES PENERIMAAN ORDER
HELMAX ALEX SEBASTIAN TAMPUBOLON, Dr. Sulistyowati, S.H., M.Hum
2014 | Tesis | S2 Hukum-
The capital market is the activity related to the public offering and securities trading, the public companies related to the issued securities, and the institution and profession related to securities as stipulated in the law of capital market no. 8 year 1995. The purpose of this research is to analyze the role of Broker-Dealer Representative in the transaction in the capital market and the responsibility when there is a mistake in the order acceptance process by the broker-dealer representative. The used data in this research are primary and secondary data collected through research in the field and literature with the data collection methods, namely literary study, interview, and observation. The researcher also used the Random Sampling method to draw the primary data from the respondents (representatives of stockbroker, stock exchange and the officials of Financial Services Authority) as the sources of data for this research. Based on the result of research, there are four conclusions to draw. First, broker-dealer representative implements the mandate of investors to buy and sell stocks in the transaction of capital market. Second, broker-dealer representative confirms to the investors related to the implementation of mandate from investor about price and stock of issuer to order. Third, broker-dealer representative refuses unethical mandate based on the provision and regulation of valid legislation. Fourth, broker-dealer representative ensures that the customers who order and/or instruct have Single Investor Identification; It is done to realize satisfactory transaction in the capital market based on provision and regulation of capital market itself.
Kata Kunci : Capital market, Broker-Dealer Representative, investor
