论我国私募基金法律制度的立法完善

发布时间：2018-03-19 22:40

本文选题：法律制度　切入点：规范　出处：《首都经济贸易大学》2011年硕士论文　论文类型：学位论文

【摘要】：私募基金是中国证券市场发展至今遇到的比较新的问题,伴随着我国经济的飞速发展和公民个人有效储蓄的增加,对投资理财工具的种类有了更丰富的要求,这是市场的自发需求。高风险与高收益并存的私募基金凭借其独特特点成为投资者的理想投资工具,私募基金自身具有很多优势,但由于法律至今仍未给予其明确的法律地位,使我国目前的私募基金处于无人管理的尴尬境地,这样容易引发非法操作,如不采取措施防范,会严重危害投资者的利益,进而不利于我国证券市场的稳定和经济的健康有序发展。因此,对这个问题的研究是有很强的现实意义的,对私募基金的法律制度进行研究也是十分必要的。本文主要分为六大部分：第一部分是引言,从选题背景与意义、文献综述、研究方法和不足之处四个方面来介绍。第二部分是对私募基金进行法律界定,首先从私募基金的定义、私募基金的法律特征、私募基金的分类和私募基金的组织形式这几个方面来对私募基金的涵义进行界定；其次介绍私募基金的法律性质,把私募基金与其他相关概念进行区分,如私募基金与公募基金的区别,私募基金与非法集资的区别等；最后对私募基金的法律性质进行基本分析。第三部分是对我国私募基金发展历史进行基本介绍,首先对我国私募基金目前的发展状况进行介绍,细分为私募证券投资基金和私募股权投资基金；其次介绍我国私募基金目前主要的表现形式；然后对我国私募基金的兴起发展进行原因分析；最后找出我国私募基金发展中存在的主要问题。第四部分是分析我国现行法律法规关于私募基金的相关规定及不足,分别从公司法、信托法、合伙企业法、证券法、证券投资基金法来找出与私募基金的相关规定及存在的不足。第五部分提出完善我国私募基金法律制度的基本构想,如将私募基金纳入我国现有的法律框架内,确定私募基金的认定标准和监管思路,规范完善私募基金的市场准入法律制度和规范完善私募基金的风险防范制度。最后一部分提出完善我国私募基金法律制度的具体措施,分为两个部分。第一部分是完善私募基金市场主体的法律制度；第二部分是完善我国私募基金运行的法律制度,分别从基金设立的备案制度,基金转售限制制度,基金托管法律制度,基金的信息披露制度,·健全国内的信用制度等方面来阐述。
[Abstract]:Private equity fund is a relatively new problem in the development of China's securities market. With the rapid development of our economy and the increase of the effective savings of citizens, there is a richer demand for the types of investment and financing tools. This is the spontaneous demand of the market. Private equity funds with high risk and high yield have become the ideal investment tools for investors because of their unique characteristics. Private equity funds have many advantages, but the law has not yet given them a clear legal status. The present private equity fund in our country is in the awkward situation of no one being managed, so it is easy to cause illegal operation. If we do not take measures to prevent it, it will seriously harm the interests of investors. Therefore, the study on this issue is of great practical significance, and it is also necessary to study the legal system of private equity funds. This paper is divided into six parts:. The first part is the introduction, from the background and significance of the topic, literature review, research methods and deficiencies to introduce four aspects. The second part is the legal definition of private equity fund, first of all, from the definition of private equity fund, the legal characteristics of private equity fund, the classification of private equity fund and the form of organization of private equity fund to define the meaning of private equity fund; Secondly, it introduces the legal nature of private equity fund, and distinguishes private equity fund from other related concepts, such as the difference between private fund and public offering fund, the difference between private fund and illegal fund raising and so on. Finally, the legal nature of private funds is analyzed. The third part is a basic introduction to the development history of private equity funds in China. Firstly, the development of private equity funds in China is introduced, which is divided into private equity investment funds and private equity investment funds. Secondly, it introduces the main manifestations of private equity funds in China; then analyzes the reasons for the rise and development of private equity funds in China; finally, finds out the main problems in the development of private equity funds in China. Part 4th is the analysis of the current laws and regulations on private equity fund related provisions and deficiencies, respectively from the company law, trust law, partnership enterprise law, securities law, Securities Investment Fund Law to find out the relevant regulations and shortcomings of private funds. Part 5th puts forward the basic idea of perfecting the legal system of China's private equity fund, such as bringing private equity fund into the existing legal framework of our country, determining the standard of private equity fund's identification and the idea of supervision. Standardize and perfect the market access legal system of private equity fund and perfect the risk prevention system of private equity fund. The last part puts forward the concrete measures to perfect the legal system of China's private equity fund, which is divided into two parts. The first part is to perfect the legal system of the main body of the private equity fund market; the second part is to perfect the legal system of the operation of the private equity fund in our country. This paper expounds the record system of fund establishment, the restriction system of fund resale, the legal system of fund trusteeship, the information disclosure system of fund, the perfection of domestic credit system and so on.
【学位授予单位】：首都经济贸易大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.28;F832.51

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