中国证券投资基金治理制度体系研究

发布时间：2018-01-25 00:14

本文关键词： 证券投资基金治理制度　出处：《辽宁大学》2013年博士论文　论文类型：学位论文

【摘要】：伴随着社会主义市场经济的迅速发展，中国证券投资基金业也得到了发展和壮大。但在发展中所暴露出来的弊端，，也逐渐引起人们的关注和思索。在考察、借鉴国外基金业发达国家成熟经验的基础上，国家在立法层面、制度引入、监管等多方面均采取了一系列的措施来完善基金治理制度。但是，从实际效果来看，仍然存在很多问题。所以，加强我国基金治理的系统研究，对于建立科学、合理的基金治理制度具有重要的理论和现实意义。本文从基金治理的经济学理论出发，在对国外发达国家证券投资基金发展、制度变迁过程，基金组织模式进行分析的基础上，对我国投资基金发展和治理制度进行了深入剖析，提出建立以投资者权益保护为核心的基金治理制度体系。从整体上系统做好相关机制安排。有效的证券投资基金治理制度体系是在一定的基金组织模式下，包括制衡激励制度、监督约束制度和救济赔偿制度在内的统一整体。论文的结构及主要内容为：第一章绪论。第二章论述与证券投资基金密切相关的经济理论。第三章通过考察国外发达国家证券投资基金治理发展、制度变迁过程，揭示治理制度变迁的一般规律。提出以基金投资者权益保护为核心，构建基金治理制度体系。第四章通过对制衡激励制度中持有人大会制度、托管人制度、独立董事制度和激励制度的理论分析，提出了具体问题和建议。第五章通过对监督约束制度中的市场准入制度、信息披露制度、监管制度、评价机制的理论分析，对完善相关机制提出了一系列观点。第六章通过对救济赔偿制度的研究，提出创设行政援助机制、赔偿保障机制并改进损害赔偿机制的建议。
[Abstract]:With the rapid development of socialist market economy, China's securities investment fund industry has also been developed and strengthened. On the basis of the mature experience of developed countries in foreign fund industry, the country has taken a series of measures to perfect the fund governance system at the legislative level, system introduction, supervision and so on. However, from the practical effect. Therefore, it is of great theoretical and practical significance to strengthen the systematic research on fund governance in China for the establishment of a scientific and reasonable fund governance system. Starting from the economic theory of fund governance, this paper analyzes the development, institutional change process and fund organization model of securities investment funds in foreign developed countries. The development and governance system of investment funds in China are deeply analyzed. Put forward to establish the fund governance system with investor rights protection as the core, make the related mechanism arrangement from the whole system. The effective securities investment fund governance system is under the certain fund organization pattern. Including checks and balances incentive system, supervision and restraint system and relief compensation system, including the unity of the whole. The structure and main contents of the thesis are as follows: The first chapter is introduction. The second chapter discusses the economic theory which is closely related to the securities investment fund. The third chapter examines the development of securities investment fund governance and institutional changes in foreign developed countries. To reveal the general law of governance system change. Put forward to the fund investors' rights and interests protection as the core, build the fund governance system system. 4th chapter through the checks and balances incentive system of the general meeting system, custodian system. The theoretical analysis of the independent director system and incentive system, put forward specific problems and suggestions. 5th chapter through the supervision and restraint system of the market access system, information disclosure system, regulatory system. The theoretical analysis of the evaluation mechanism put forward a series of views to improve the relevant mechanism. Chapter 6th proposed the creation of administrative assistance mechanism through the research of relief compensation system. Compensation safeguards and recommendations to improve damage compensation mechanisms.
【学位授予单位】：辽宁大学
【学位级别】：博士
【学位授予年份】：2013
【分类号】：F832.51

【参考文献】