我国有限合伙制第三方理财的法律问题研究

发布时间：2018-03-26 17:53

本文选题：有限合伙　切入点：第三方理财　出处：《西南财经大学》2016年硕士论文

【摘要】：有限合伙制第三方理财是第三方理财机构涉足上游资管市场而发行的有限合伙形式的理财产品,以非公开发行的方式向社会募集有限合伙人和资金。作为一种极具创新性的法律架构和财富管理工具,其最大的特点在于巧妙的实现了有限合伙制度与第三方理财相结合,不仅能够充分发挥有限合伙强大的融资能力和经营管理自主性优势,而且还能兼顾第三方理财的独立性与专业性,真正地实现了“智力与资本”相结合。也正是由于此,第三方理财机构才选择了有限合伙制度作为其探索资管市场的首选组织制度,当然这也是深受广大投资人热烈追捧的重要原因。目前我国有限合伙制第三方理财还是一个新生事物,尚处于起步阶段,因而还存在很多问题亟待解决,主要表现为法律制度不健全、监管不到位所引起的组织制度和实际运作的异化,以及司法裁判不确定性和投资者利益保护不周等。本文运用了案例分析法、功能分析法、比较分析法等研究方法,通过对“有限合伙协议纠纷”案例的分析,提出当前我国有限合伙制第三方理财存在的问题,并深入分析了其法律性质和法律结构,重点探讨了其制度功能与优势。然后,通过梳理有限合伙制第三方理财的交易结构和运作过程,进而剖析其组织上和运作上存在的异化表现,例如有限合伙制融资通道化、有限责任公司出任普通合伙人、有限合伙企业内部治理机制混乱、普通合伙人信义义务缺失和道德风险严重等。需要重点指出的是,本文的创新之处不再仅停留于通过案例及其实际运作分析探讨该项制度,而是在于专门为此构建了一个司法案例样本库(共116件),以此作为全文的研究基础,并在文章的第五部分对于有限合伙制第三方理财纠纷的裁判情况进行了重点分析,尤其是对人民法院认定为“有限合伙协议合法有效”和“有限合伙协议是‘名为合伙,实为借贷’的借贷合同”的审判逻辑,进而了解人民法院对此的裁判情况。此外,在文章的最后,结合我国现行法律规制和金融创新监管的现状,就如何完善我国有限合伙制第三方理财的相关法律制度提出了一些具有参考价值的建议。
[Abstract]:Limited partnership is a kind of limited partnership financial products issued by third-party financial institutions in the upstream capital management market. As a very innovative legal framework and wealth management tool, its greatest characteristic lies in the ingenious realization of the limited partnership system and the third party financial management. Not only can the limited partnership give full play to its strong financing ability and the advantages of management autonomy, but also it can give consideration to the independence and professionalism of third party financial management, and realize the real combination of "intelligence and capital". Third party financial institutions chose the limited partnership system as their first choice to explore the capital management market. Of course, this is also an important reason for the enthusiasm of investors. At present, limited partnership third party financing is still a new thing in our country, which is still in its infancy, so there are still many problems to be solved. The main manifestations are the imperfect legal system, the dissimilation of the organizational system and the actual operation caused by the lack of supervision, the uncertainty of the judicial decision and the inadequate protection of the investors' interests, etc. This paper uses the case analysis method, the functional analysis method, and so on. Through the analysis of the case of "limited partnership agreement dispute", this paper puts forward the problems existing in the third party financing of limited partnership system in our country, and deeply analyzes its legal nature and legal structure. Then, by combing the transaction structure and operation process of limited partnership third party financial management, the paper analyzes the dissimilation of its organization and operation, such as limited partnership financing passageway. Limited liability companies as general partners, the internal governance mechanism of limited partnerships is chaotic, the general partners lack of fiduciary duty and serious moral hazard, etc. The innovation of this paper is not only to discuss the system through case analysis and its actual operation, but also to construct a sample database of judicial cases (116 pieces in all). In the fifth part of the article, the author mainly analyzes the judgment of the third party financial disputes in limited partnership, especially the people's court considers that the limited partnership agreement is legal and valid and the limited partnership agreement is called partnership. In the end of the article, combining with the current situation of legal regulation and financial innovation supervision in our country, we can understand the judgment of the people's court on this issue. This paper puts forward some valuable suggestions on how to perfect the related legal system of limited partnership third party financial management.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D922.291.91

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