我国主权财富基金法律问题研究

发布时间：2018-03-07 22:05

本文选题：主权财富基金　切入点：中国投资有限公司　出处：《上海师范大学》2017年硕士论文　论文类型：学位论文

【摘要】：主权财富基金是指一国政府直接或者间接拥有的特殊投资工具。2007年9月29日,我国唯一一家主权财富基金中国投资有限公司在北京成立。在这十年的发展过程中,中国投资有限公司面临的法律纠纷时而有之。本文研究我国主权财富基金在投资准入之前面临的法律问题,并借鉴其他国家的成功做法,希望借此提出完善我国主权财富基金的法律对策。论文共计三万余字,除结论外,共计五章:第一章是绪论,介绍了选题背景、研究意义、研究现状、研究思路和方法以及创新点和不足。第二章是主权财富基金基本理论,阐释了主权财富基金的概念与影响,我国主权财富基金的设立情况,为下文论述奠下理论基础。第三章是我国主权财富基金面临的法律问题,本部分从两个层面入手,第一部分介绍了我国主权财富基金自身的法律问题,即,信息披露不足、治理结构不科学和监管机构不明确;第二部分介绍了我国主权财富基金面临的外部法律问题,即,东道国国家安全审查标准模糊、贸易保护主义严重和国际监管规制效力较低。第四章是域外主权财富基金的法律规制,该章分析了主权国家和国际组织针对主权财富基金的成功做法,尤其是在治理结构、监管机制和透明度方面的长处,为下文我国主权财富基金的完善对策提供借鉴。第五章是我国主权财富基金的完善对策,首先,在应对自身的法律问题上,该章提出三条建议:适度提高信息披露,尤其在披露的数量和质量上;完善公司治理结构;建立主权财富基金管理委员会以明确我国主权财富基金的监管主体;再者,在应对外部法律问题上,一方面建议进一步完善国际监管遵约机制,另一方面应该加快国际交流和协调,在坚持国际协调和国家主权原则的前提下,努力统一国家安全的概念,积极营造一个公平的国际投资环境。
[Abstract]:A sovereign wealth fund is a special investment vehicle owned directly or indirectly by a government. In September 29th 2007, the only sovereign wealth fund, China Investment Co., Ltd. was established in Beijing. There are some legal disputes faced by China Investment Co., Ltd. This paper studies the legal problems faced by China's sovereign wealth funds before their investment access, and draws lessons from the successful practices of other countries. The author hopes to put forward the legal countermeasures to perfect the sovereign wealth fund of our country. The thesis consists of more than 30,000 words, in addition to the conclusion, five chapters: the first chapter is the introduction, which introduces the background of the topic, the significance of the research, and the status quo of the research. The second chapter is the basic theory of SWFs, which explains the concept and influence of SWFs, and the establishment of SWFs in China. The third chapter is the legal problems faced by China's sovereign wealth funds. The first part introduces the legal problems of China's sovereign wealth funds, that is, the lack of information disclosure. The second part introduces the external legal problems faced by China's sovereign wealth funds, that is, the national security review standards of the host country are vague. Chapter 4th is the legal regulation of extraterritorial sovereign wealth funds. This chapter analyzes the successful practices of sovereign wealth funds by sovereign states and international organizations, especially in the governance structure. The advantages of regulatory mechanism and transparency provide a reference for the following measures for the improvement of China's sovereign wealth fund. Chapter 5th is the perfect countermeasure for China's sovereign wealth fund. First of all, in dealing with its own legal problems, This chapter puts forward three suggestions: to improve the disclosure of information, especially in the quantity and quality of disclosure; to improve the corporate governance structure; to establish a sovereign wealth fund management committee to clarify the regulatory body of the sovereign wealth fund; In dealing with external legal issues, on the one hand, it is suggested that the international regulatory compliance mechanism should be further improved, on the other hand, international exchanges and coordination should be accelerated, and the concept of national security should be unified on the premise of upholding the principles of international coordination and national sovereignty. Actively create a fair international investment environment.
【学位授予单位】：上海师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

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