基金子公司专项资产管理业务中的法律问题研究

发布时间：2018-01-09 05:04

本文关键词：基金子公司专项资产管理业务中的法律问题研究　出处：《北京邮电大学》2015年硕士论文　论文类型：学位论文

【摘要】：2012年11月1日起施行的《基金管理公司特定客户资产管理业务试点办法》拓宽了特定客户资产管理业务的范畴,允许基金管理公司设立专门的子公司从事专项资产管理业务。基金管理公司纷纷设立子公司,发行专项资产管理计划。截至到2014年7月,不到两年的时间,基金子公司专项资产管理计划已经达到2.29万亿。取得巨大成就的同时,专项资产管理业务也出现种种问题。因此,对基金子公司专项资产管理的法律问题进行研究是十分必要的。文章分为五个部分。其中前两章侧重理论研究,为后续深入研究提供理论基础和总体背景。第一章对专项资产管理业务进行了简单介绍,说明了专项资产管理业务的背景、基本概念、发展,将专项资产管理业务与其他相关业务进行比较分析,重点分析专项资产管理计划与证券公司集合资产管理业务、信托业务、公募基金、阳光私募基金的异同。第二章主要介绍了有关专项资产管理业务的法律关系,明确专项资产管理业务的实质为信托法律关系,分析了专项资产管理业务中当事人的权利义务关系。第三章结合我国专项资产管理业务的现状,介绍专项资产管理业务的主要模式,并分析其中存在的法律关系。第四章分析了当前专项资产管理业务中存在的各种问题,例如资产管理合同中权利义务不对等、资产托管人对资产管理人监督不当、投资者适当性制度适用不当以及实践中出现的各种合规问题。第五章针对第四章出现的各种问题,提出笔者的建议。
[Abstract]:Since November 1st 2012, the "Fund Management Company specific customer Asset Management Business pilot measures" has broadened the scope of specific customer asset management business. Fund management companies are allowed to set up special subsidiaries to engage in special asset management business. Fund management companies have set up subsidiaries to issue special asset management plans until July 2014. In less than two years, the fund subsidiary special asset management plan has reached 2.29 tillion. At the same time, the special asset management business also has a variety of problems. It is necessary to study the legal problems of the special assets management of the fund subsidiary. The article is divided into five parts. The first two chapters focus on theoretical research, which provides theoretical basis and overall background for further research. The first chapter introduces the special asset management business. It explains the background, basic concept and development of special asset management business, and makes a comparative analysis between special asset management business and other related business. Focus on the analysis of the special asset management plan and the securities company collective asset management business, trust business, public funds, sunshine private equity fund similarities and differences. Chapter two mainly introduces the legal relationship of special asset management business. It is clear that the essence of the special asset management business is trust legal relationship, and analyzes the rights and obligations of the parties in the special asset management business. Chapter three combines the current situation of the special asset management business in China. This paper introduces the main mode of special asset management business, and analyzes the legal relationship among them. Chapter 4th analyzes the various problems existing in the special asset management business at present. For example, the rights and obligations in the asset management contract are not equal, and the asset custodian does not supervise the asset manager properly. The author puts forward some suggestions in the 5th chapter on the various problems that appear in Chapter 4th in view of the improper application of the investor appropriateness system and various compliance problems in practice.
【学位授予单位】：北京邮电大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.28

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