中国私募股权投资基金的法律监管

发布时间：2018-04-25 08:33

本文选题：私募股权投资基金 + 法律监管　；参考：《中国社会科学院研究生院》2016年硕士论文

【摘要】：数据显示,自2008年以来,中国已成为亚洲最大的私募股权投资市场。2014年,中国占亚洲私募股权交易总金额的41%。近年来,中国的私募股权投资基金保持着强劲的发展势头。企业仍然是私募股权投资基金的主要投资者。笔者旨通过此文全面介绍中国的私募股权投资基金、私募股权投资基金监管的国际经验以及中国私募股权投资基金监管应该从哪几个方面进行完善。笔者认为在立法层面,针对基金管理人以及投资顾问设立一定的行业准入门槛,提高基金管理人以及投资顾问的团队素质和道德水平,使其更好的为投资者服务。在管理机制方面,应该协调行业协会以及中国证监会的监管,两个监管机关共同努力促进中国私募股权投资基金的健康发展。在执法层面,应该尽快落实基金备案制,加强证监会对私募基金行业的事后监管,预防非法集资案件的频繁发生。同时笔者认为,监管机关应该引导私募股权投资基金的资金投向从传统产业向创新性企业的转变,从而更好的促进中小企业的发展。中国于2016年6月颁布了《关于进一步规范私募基金管理人登记若干事项的公告》,公告,提交申请的基金管理人中,只有不超过百分之十的管理人通过审批。中国私募股权投资基金管理人面临着前所未有的监管。
[Abstract]:China has become Asia's largest private equity market since 2008, according to data. In 2014, China accounted for 41 percent of total private equity deals in Asia. In recent years, China's private equity funds have maintained a strong momentum of development. Companies remain major investors in private equity funds. The author aims to introduce China's private equity funds, the international experience of the supervision of private equity funds and how to improve the supervision of Chinese private equity funds. The author thinks that in the legislative level, we should set up a certain industry entry threshold for fund managers and investment advisers, improve the team quality and moral level of fund managers and investment advisers, and make them better serve for investors. In terms of regulatory mechanisms, industry associations and the China Securities Regulatory Commission should be co-ordinated, with the two regulators working together to promote the healthy development of private equity funds in China. At the law enforcement level, we should implement the fund filing system as soon as possible, strengthen the supervision of the private equity fund industry by the Securities Regulatory Commission, and prevent the frequent occurrence of illegal fund-raising cases. At the same time, the author believes that the regulatory authorities should guide the private equity investment funds to shift from traditional industries to innovative enterprises, so as to better promote the development of small and medium-sized enterprises. In June 2016, China promulgated a notice on further standardizing the registration of private fund managers. In the announcement, only 10% of the fund managers who submitted applications passed the examination and approval. Chinese private equity fund managers are facing unprecedented regulation.
【学位授予单位】：中国社会科学院研究生院
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D922.287

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