美国证券投资基金的发展及其借鉴

发布时间：2018-04-27 16:34

本文选题：证券投资基金 + 共同基金　；参考：《浙江大学》2012年硕士论文

【摘要】：美国是当今世界上证券投资基金最发达的国家,无论是基金品种、数量、资产总额、投资者数量,还是美国基金公司的治理结构,美国的证券投资基金均居世界领先地位。美国证券投资基金业的市场及制度安排对整个世界证券投资基金业的发展起着示范作用。因此,从美国证券投资基金业的发展历程中总结出相应的规律和经验教训,对促进中国证券投资基金的发展具有重要的借鉴意义。本文共有五章,按内容可分为三个部分：首先,第一章为引言部分,阐述本文选题的背景与目的,并对国内外相关的文献进行整理和总结。第二章介绍了本文研究对象所涉及到的相关概念及理论基础,明确了本文的研究对象,并阐述了证券投资基金发展的理论基础。其次,第三章是本文论述的核心,本文根据美国证券投资基金发展历程中的关键性事件以及证券投资基金规模的增长状态,将其分为四个阶段,分别是萌芽期：1921-1940、探索发展期：1941-1980、快速扩张期：1981-2000、成熟期：2001-2010。第四章作为本文核心部分的延续,总结了美国证券投资基金发展历程中的一些规律和经验,如严格的法律监管、成熟的资本市场、合理的投资主体以及完善的养老金体系。最后,第五章介绍了我国证券投资基金发展的现状,找出我国证券投资基金业中存在的一些问题,并通过借鉴美国证券投资基金的成功经验,提出了相关的政策建议。
[Abstract]:The United States is the most developed country of securities investment funds in the world today. Whether it is the variety of funds, the quantity of funds, the total amount of assets, the number of investors, or the governance structure of American fund companies, the securities investment funds of the United States are in the leading position in the world. The market and institutional arrangements of American securities investment fund industry play an exemplary role in the development of securities investment fund industry in the whole world. Therefore, it is of great significance for the development of China's securities investment funds to sum up the relevant laws and lessons from the development of American securities investment funds. There are five chapters in this paper, which can be divided into three parts according to the content: First, the first chapter is the introduction part, expatiates the background and purpose of this paper, and summarizes the related literature at home and abroad. The second chapter introduces the related concepts and theoretical basis of the research object, clarifies the research object of this paper, and expounds the theoretical basis of the development of securities investment fund. Secondly, the third chapter is the core of this paper. According to the key events in the development of American securities investment funds and the growth state of the scale of securities investment funds, this paper divides them into four stages. They are the sprout period: 1921-1940, the exploration and development period: 1. 1941-1980, the rapid expansion period: 1. 1981-2000, and the mature period: 1-2001-2010. As a continuation of the core part of this paper, the fourth chapter summarizes some laws and experiences in the development of American securities investment funds, such as strict legal supervision, mature capital market, reasonable investment subject and perfect pension system. Finally, the fifth chapter introduces the current situation of the development of China's securities investment funds, finds out some problems existing in China's securities investment fund industry, and puts forward some relevant policy recommendations through drawing lessons from the successful experience of American securities investment funds.
【学位授予单位】：浙江大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51;F837.12

【引证文献】