我国证券投资基金关联交易法律监管研究

发布时间：2018-02-02 04:44

本文关键词： 证券投资基金关联人关联交易法律监管　出处：《北京交通大学》2013年硕士论文　论文类型：学位论文

【摘要】：本文旨在研究完善我国证券投资基金关联交易监管的法律制度。论文的正文由五部分组成：第一部分是“证券投资基金关联交易概述”,笔者对证券投资基金关联交易的基本理论问题进行分析,以期对基金关联交易有一个完整而深入的认识。第二部分是“证券投资基金关联交易监管的理论基础”,笔者分别从基金投资者的保护和基金受托人的信赖义务两方面进行阐述。第三部分是“域外证券投资基金关联交易的法律监管”,笔者分别对证券投资基金关联人的界定以及关联交易的监管这两部分进行比较分析,介绍了美国、日本、我国台湾地区、香港地区等国家(地区)的相关立法,并总结了一些有益的启示。第四部分是“我国证券投资基金关联交易监管的立法概况与不足”,笔者介绍了我国现有的涉及基金关联交易监管的法律、法规,并归纳立法不足。第五部分,笔者在借鉴域外监管经验的基础上,结合我国实际情况,对我国证券投资基金关联交易的法律监管提出了完善建议。这一部分是整篇论文的重点,也是笔者写作目的所在。在这一部分中笔者提出了一些不太成熟的构想,希望能够对证券投资基金关联交易的法律监管有所裨益。.
[Abstract]:This paper aims to study and perfect the legal system of the supervision of the related transaction of securities investment fund in China. The main body of this paper is composed of five parts:
The first part is the overview of related transactions of securities investment fund, the basic theoretical issues of the securities investment fund transactions, the author carries on the analysis, in order to have a complete and thorough understanding of the fund transaction. The second part is the theoretical basis of supervision of related party transactions of securities investment fund, the author respectively from the protection of fund investors and the fund trustee's fiduciary duty in two aspects. The third part is the legal supervision of foreign securities investment fund transactions, the author of the securities investment fund and the definition of related party transactions is the supervision of the two part of a comparative analysis, introduced the United States, Japan, China's Taiwan region, Hongkong region and other countries (area) of the relevant legislation, and summarizes some beneficial enlightenment. The fourth part is the legislative situation and inadequate supervision of related transactions of securities investment funds in china" , the author introduces the current legal regulation of related party transactions involving funds, regulations, and summarize the shortage of legislation. In the fifth part, based on the reference of foreign regulatory experience, combined with China's actual situation, the legal supervision of the related transactions of securities investment funds in China put forward suggestions. This part is the key the whole thesis, and also the purpose of writing. In this part, the author put forward some immature ideas, hope to be able to legal supervision on the securities investment fund transactions benefit.

【学位授予单位】：北京交通大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287

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