在金融業整併之風潮下，以往採取分業規範、分業管理之立法模式，無法因應金融商品之多元化，專業化所產生之紛爭，因此，基於投資人保護之需求，法制之整合成為台灣與日本共同之目標。我國法與日本法在邁向統一之金融服務法之前，均採逐步立法之方式，日本以金融商品販賣法作為前置立法；我國法則以投信投顧法為前置立法。二者均以漸進之立法方式，以避免對業界造成過度之衝擊。因日本已經於2006年6月14日較我國早一步通過了「金融商品交易法」，故本文乃以日本之立法例為研究對象，探討該立法中關於投資人保護之相關規定，即以該法中對業者行為之規範為主要研究對象，其在投資人保護上具有如何之意義？以及該法制對於我國草擬中的金融服務法有何啟示與影響等進行論述與檢討。

In the trend of M&A, Regulation of divide and management of divide could not resolve the argument which happens in the diversity and profession of financial products. To meet requirement of protecting the investors, the merge in law has became the goal in Taiwan and Japan. Taiwanese law and Japanese law use to establish the law step by step. In Japan, they use the Financial Products Sales Law as the establishment law. In Taiwan, we use Securities Investment Trust and Consulting Law as the establishment law. To avoid the impaction in the industry overly, both of Japan and Taiwan establish the law gradually. Because Japan has announced the Financial instrument and Exchange Law on June 14th, 2006, this article use Japan to be the sample and discuss the related regulation in the protection of investors and the meaning of protection. And to discuss how that law in Japan will inspire and influence the law which under the status of draft in Taiwan.