私募基金的法律定位及法律调整

发布时间：2018-10-18 09:45

【摘要】：本文共分六个部分,从法律角度出发,阐述了何为私募基金和对于私募基金应该如何调整的问题。第一部分绪论部分,首先阐述了本文的写作背景,说明了当前对私募基金的法律认识还比较混乱的情况。其次,介绍了国内对于私募基金的研究成果和本文采用的研究方法,说明了该领域的研究状况和本文研究的起点。最后,介绍了本文的创新之处,阐述了本文在该领域中的独到见解。第二部分对私募基金的上位概念,基金和私募基金进行了探讨。首先,通过词义的解释,揭示了基金的本质是一种特定财产集合,基金制度的本质是为了特定用途而实行的财产集中托管制度,并介绍了基金的分类。其次,通过对现有投资基金理论的辨析,揭示出了投资基金是用于特定投资目的的资产集合,投资基金制度的本质是一种代人理财制度,并对投资基金的分类进行了介绍。第三部分通过对比国外立法情况和分析现有私募基金法律定位学说的不足,在第二部分论述的基础上提出私募基金本质上不是一个法律概念,而是对特定对象进行非公开募集的用于特定投资目的的资产集合。私募基金制度本质上是一种私人代客理财的商法制度,受较为纯粹的私法调整,对应多个法律制度,不能简单的归为一种法律制度。第四部分对私募基金制度可以对应的不同法律制度进行了详细分析,指出了私募基金在我国实际存在的形态,并根据不同法律关系所建立的组织形式,将私募基金划分成契约型、公司型和有限合伙型私募基金。第五部分基于前几部分的分析,对私募基金的法律调整模式进行了选择。该部分首先对海外多个国家和地区的私募基金立法进行了考察,总结了可资借鉴之处。其次介绍了我国立法实践中反映出的对私募基金法律调整模式的不同选择。对主张私募基金单独立法的理由进行了详细说明,并分析了这种模式存在的不足,从而得出私募基金不应单独立法的结论,并对我国现行法律构建的私募基金制度规定进行了详细的梳理。最后,本文的第六部分对关于私募基金的法律定位和法律调整的创新观点进行了总结梳理。
[Abstract]:This article is divided into six parts, from the point of view of the law, to explain what is a private fund and how to adjust the private equity fund. The first part introduces the background of this paper and explains the confusion in the current legal understanding of private equity funds. Secondly, this paper introduces the domestic research results of private equity funds and the research methods used in this paper, explains the research situation in this field and the starting point of this study. Finally, the innovation of this paper is introduced, and the unique views in this field are expounded. The second part discusses the superior concept of private equity fund, fund and private equity fund. First of all, through the explanation of the meaning of words, it reveals that the essence of the fund is a kind of special property set, and the essence of the fund system is the centralized trusteeship system for the specific purpose, and introduces the classification of the fund. Secondly, based on the analysis of the existing investment fund theory, it is revealed that the investment fund is a set of assets used for a specific investment purpose, and the essence of the investment fund system is a kind of financial management system, and the classification of the investment fund is introduced. In the third part, by comparing the foreign legislation and analyzing the deficiency of the existing private equity fund legal positioning theory, on the basis of the second part, the author puts forward that the private equity fund is not a legal concept in essence. Rather, it is a collection of assets for specific investment purposes that are privately raised on a particular object. Private equity fund system is essentially a private financial management of the commercial law system, subject to a relatively pure private law adjustment, corresponding to a number of legal systems, can not be simply classified as a legal system. The fourth part makes a detailed analysis of the different legal systems that the private placement fund system can correspond to, points out the actual existence of the private equity fund in our country, and according to the different legal relations established the organizational form. Private funds are divided into contractual, corporate and limited partnership private equity funds. The fifth part is based on the analysis of the previous part, the legal adjustment model of private equity funds is selected. This part first investigates the legislation of private equity fund in many countries and regions overseas, and summarizes the points that can be used for reference. Secondly, it introduces the different choice of the legal adjustment mode of private equity fund reflected in the legislative practice of our country. In this paper, the reasons for advocating the separate legislation of private equity funds are explained in detail, and the shortcomings of this model are analyzed, so as to draw the conclusion that private equity funds should not legislate separately. At the same time, the regulation of private fund system constructed by the current law of our country has been combed in detail. Finally, the sixth part summarizes the legal orientation and legal adjustment of private equity funds.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.28;F832.51

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