试论我国证券投资者保护基金法律制度的完善

发布时间：2018-08-11 14:42

【摘要】：证券投资者保护基金制度是投资者保护制度的重要组成部分,我国于2005年颁布的《证券投资者保护基金管理办法》,2006年修订的《证券法》明确了证券投资者保护基金制度的地位,这表明我国已经正式建立了证券投资者保护基金制度。但是在制度的设计上仍存在很多问题,本文立足于当前我国证券投资者保护基金法律制度的基本规定,通过探讨我国证券投资者保护基金制度存在的问题,吸收和借鉴资本发达国家(地区)证券投资者保护基金法律制度的成功经验,从主体制度,客体制度,赔偿制度,监管制度等方面对我国证券投资者保护基金法律制度的完善提出了建议。本文正文分为五个部分。第一部分对证券投资者保护基金制度进行概括,具体从保护基金的概念,特征,定位,作用四个方面对该制度的基本理论进行初步探讨。第二部分分析了我国证券投资者保护基金法律制度的现状。该部分主要在立法背景和立法意义的基础上,进一步论述了我国证券投资者保护基金的法律规定和具体内容。第三部分分析了我国证券投资者保护基金法律制度存在的问题,主要对主体制度,客体制度,赔偿制度,监管制度四个方面中存在的问题进行论述。具体为：在主体制度中,从投资者保护基金公司和投资者这两大主体的角度出发进行分析问题；在客体制度中,主要从基金来源、基金形式及基金职能三方面进行问题分析；在赔偿制度中,主要论述了赔偿范围和赔偿程序中存在的问题。在监管制度中,主要存在各监管部门协调不合理,投资者保护基金公司与相关主体协调机制欠缺等问题。第四部分是对资本市场发达国家(地区)证券投资者保护基金法律制度规定的介绍,主要从主体制度、客体制度、赔偿制度、监管制度四个方面论述了各国(地区)证券投资者保护基金的法律规定。第五部分是在借鉴各国(地区)证券投资者保护基金法律制度成功经验的基础上,结合我国资本市场的实际情况,根据我国投资者保护基金存在的问题,也是从主体制度、客体制度、赔偿制度、监管制度四个方面提出完善我国证券投资者保护基金法律制度的相关建议。
[Abstract]:The securities investor protection fund system is an important part of the investor protection system. The securities investor protection fund management system promulgated in 2005 and the Securities Law amended in 2006 clearly defines the position of the securities investor protection fund system. This shows that our country has formally established the securities investor protection fund system. However, there are still many problems in the design of the system. This paper, based on the basic provisions of the current legal system of securities investor protection fund in China, discusses the problems existing in the system of securities investor protection fund in our country. To absorb and draw lessons from the successful experience of the legal system of the securities investor protection fund in the developed countries (regions), from the subject system, the object system, the compensation system, Some suggestions are put forward on how to perfect the legal system of securities investor protection fund in China. The text of this paper is divided into five parts. The first part generalizes the protection fund system of the securities investors, and discusses the basic theory of the protection fund from four aspects: the concept, the characteristics, the orientation and the function of the protection fund. The second part analyzes the current situation of China's securities investor protection fund legal system. On the basis of legislative background and legislative significance, this part further discusses the legal provisions and specific contents of securities investor protection funds in China. The third part analyzes the problems existing in the legal system of China's securities investors' protection fund, mainly discusses the main body system, the object system, the compensation system and the supervision system. The main contents are as follows: in the subject system, the problems are analyzed from the angle of investor protection fund company and investor, in the object system, the fund source, the fund form and the fund function are analyzed in three aspects: the source of the fund, the form of the fund and the function of the fund. In the compensation system, mainly discussed the compensation scope and the compensation procedure existence question. In the supervision system, there are some problems, such as unreasonable coordination between various regulatory authorities and lack of coordination mechanism between investor protection fund companies and related subjects. The fourth part is the introduction of the legal system of the securities investor protection fund in the developed countries (regions) of the capital market, mainly from the subject system, the object system, the compensation system, Four aspects of the regulatory system discussed the national (regional) securities investor protection fund legal provisions. The fifth part is based on the successful experience of the legal system of the securities investor protection fund in various countries (regions), combined with the actual situation of the capital market of our country, according to the problems existing in the investor protection fund of our country, it is also from the subject system. Four aspects of object system, compensation system and supervision system are put forward to perfect the legal system of securities investor protection fund in China.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.287;F832.51

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