关于我国政府对私募基金的监管研究

发布时间：2018-01-10 06:16

本文关键词：关于我国政府对私募基金的监管研究　出处：《首都经济贸易大学》2017年硕士论文　论文类型：学位论文

【摘要】：伴随我国金融市场的发展,私募基金作为金融市场中证券市场的重要组成部分,也已经经历了20多年的发展。其发展规模不断壮大,发展速度愈来愈快,逐渐成为我国资本市场上备受关注的投资工具和不可忽略的重要组成部分,为建立我国多层次的金融市场和丰富金融投资工具做出了突出的贡献。但是,由于我国私募基金的发展总体上与西方发达国家相比较来说,发展初始期较晚,整体发展水平相对西方国家来说还没有那么成熟。总的来说,现阶段我国私募基金的发展处于初级阶段,在监管上存在着监管部门不明确、分业监管造成地重复交叉监管和监管的真空地带等一系列的问题;此外,我国私募基金在法律上仍没有明确的法律界定,私募基金的发展一直是伴随着缺失一套完备成体系的法律的监管而进行的。这些问题很有可能使我国私募基金成为证券市场中潜在的不稳定因素和随时爆发金融危机的导火索,在损害投资者投资利益的同时甚至会把整个证券市场卷入风险区域,在一定程度上影响和阻碍了我国私募基金市场的健康有序发展。本论文主要是从政府的角度研究怎样对我国私募基金市场进行标准规范和监督管理,文章通过徐翔案件呈现出来的问题作为切入点深入挖掘我国政府在对私募基金监管当中存在的主要问题,针对问题找出其产生的原因;在借鉴美国和英国这两个国家对私募基金的监管经验的基础上考虑我国证券市场发展的具体情况,对我国私募基金的监管中存在的不合理的问题做出分析,并就此提出相应的解决对策和建议。
[Abstract]:With the development of the financial market in our country, as an important part of the security market, private equity funds have experienced more than 20 years of development. It has gradually become an important part of investment tools and not to be ignored in the capital market of our country, and has made outstanding contributions to the establishment of multi-level financial market and the enrichment of financial investment instruments. Since the development of private equity funds in China is generally compared with the western developed countries, the initial period of development is relatively late, and the overall level of development is not as mature as that of the western countries. At present, the development of private equity fund in our country is in the primary stage, and there are a series of problems in supervision, such as unclear supervision, overlapping of cross-regulation and the vacuum zone of supervision. In addition, there is still no clear legal definition of private equity funds in China. The development of private equity funds has been accompanied by the lack of a complete system of laws and regulations. These problems are likely to make private equity funds in China become a potential instability in the securities market and financial explosion at any time. The fuse of the crisis. At the same time, it will even involve the whole securities market in the risk area. To some extent, it affects and hinders the healthy and orderly development of private equity fund market in China. This paper mainly studies how to regulate and supervise the private equity fund market from the angle of government. The article uses the problems presented in Xu Xiang's case as a breakthrough point to dig into the main problems existing in the supervision of private equity funds by our government, and find out the reasons for the problems. On the basis of considering the specific situation of the development of China's securities market based on the experience of the supervision of private equity funds in the United States and the United Kingdom, this paper makes an analysis of the unreasonable problems in the supervision of private equity funds in our country. And puts forward the corresponding solution countermeasure and suggestion accordingly.
【学位授予单位】：首都经济贸易大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.51

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