论私募基金的合格投资者制度
发布时间：2018-11-01 13:56
【摘要】：本文以合格投资者制度的发展为主轴，从合格投资者制度的相关概念着手，考察了合格投资者制度研究的必要性。梳理了美英两国的合格投资者制度，以其发展历程为脉络进行比较分析，归纳总结出合格投资者的判断标准。对中国合格投资者制度发展至今的相关法律规范进行整理，结合美英两国资本市场的管理经验，有针对性的对我国合格投资者制度提出了完善建议。 全文共分三大部分。分别探讨了私募基金合格投资者制度的基本概念，美、英两国合格投资者制度的发展历程及制度构建，我国私募基金合格投资者制度的不足及完善建议。 第一部分从私募、基金、合格投资者、合格投资者制度这几个基本概念着手，明确了研究对象，构建了下文讨论的基础。接着探讨私募基金合格投资者制度的必要性，即在保护投资者权益和促进资本市场健康发展中，私募基金合格投资者制度都能起到不可或缺的重要作用。 第二部分选取了美国和英国的合格投资者制度为样本进行分析研究。以其发展的历史进程为线索，分别分析了美国、英国合格投资者制度。从中归纳出合格投资者的判断标准，指出美英两国制度构建中曾经存在的问题，并深入发掘其制度现状之所以如此构建的历史动因。 第三部分将理论研究与我国的具体实践相结合，详细考察我国合格投资者制度的立法现状，，梳理了我国私募基金合格投资者制度的相关规定。在指出我国私募基金合格投资者制度发展的薄弱环节，通过吸取他国的经验教训，有针对性的给出相应的完善建议。
[Abstract]:Based on the development of the QFI system, this paper investigates the necessity of the QFI system research from the relevant concepts of the QFI system. This paper combs the QFI system of the United States and Britain, compares and analyzes its development course, and sums up the judging standard of QFII. This paper collates the relevant legal norms of the development of China's QFI system up to now, and combines the management experience of the capital markets of the United States and the United Kingdom, and puts forward some suggestions for the perfection of the QFI system in China. The paper is divided into three parts. This paper discusses the basic concepts of the qualified investors system of private equity funds, the development and construction of the qualified investors system in the United States and Britain, and the deficiencies and suggestions of the qualified investors system in our country. The first part starts with the basic concepts of private placement, fund and QFI system, defines the object of study and constructs the basis of the following discussion. Then it discusses the necessity of the qualified investors system of private equity funds, that is, in protecting investors' rights and interests and promoting the healthy development of capital market, the qualified investors system of private equity funds can play an indispensable and important role. In the second part, the QFI system in the United States and Britain is selected as the sample to analyze and study. Based on the historical process of its development, this paper analyzes the QFII system in the United States and Britain respectively. This paper sums up the judging criteria of QFII, points out the problems existing in the institutional construction of the United States and Britain, and further explores the historical reasons for the present situation of QFII to be constructed in such a way. The third part combines the theoretical research with the specific practice of our country, examines the legislation status of the QFI system in China in detail, and combs the relevant provisions of the QFI system of private equity funds in our country. This paper points out the weak link of the development of qualified investors system of private equity fund in our country, and through drawing the experience and lessons of other countries, gives the corresponding perfect suggestions.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287
本文编号：2304117
[Abstract]:Based on the development of the QFI system, this paper investigates the necessity of the QFI system research from the relevant concepts of the QFI system. This paper combs the QFI system of the United States and Britain, compares and analyzes its development course, and sums up the judging standard of QFII. This paper collates the relevant legal norms of the development of China's QFI system up to now, and combines the management experience of the capital markets of the United States and the United Kingdom, and puts forward some suggestions for the perfection of the QFI system in China. The paper is divided into three parts. This paper discusses the basic concepts of the qualified investors system of private equity funds, the development and construction of the qualified investors system in the United States and Britain, and the deficiencies and suggestions of the qualified investors system in our country. The first part starts with the basic concepts of private placement, fund and QFI system, defines the object of study and constructs the basis of the following discussion. Then it discusses the necessity of the qualified investors system of private equity funds, that is, in protecting investors' rights and interests and promoting the healthy development of capital market, the qualified investors system of private equity funds can play an indispensable and important role. In the second part, the QFI system in the United States and Britain is selected as the sample to analyze and study. Based on the historical process of its development, this paper analyzes the QFII system in the United States and Britain respectively. This paper sums up the judging criteria of QFII, points out the problems existing in the institutional construction of the United States and Britain, and further explores the historical reasons for the present situation of QFII to be constructed in such a way. The third part combines the theoretical research with the specific practice of our country, examines the legislation status of the QFI system in China in detail, and combs the relevant provisions of the QFI system of private equity funds in our country. This paper points out the weak link of the development of qualified investors system of private equity fund in our country, and through drawing the experience and lessons of other countries, gives the corresponding perfect suggestions.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287
【参考文献】
相关期刊论文 前2条
1 王建文;;完善我国证券私募制度的初探[J];华东经济管理;2006年03期
2 吴盼文;吴超;边俊利;王若平;;国外私募股权投资基金的交易退出制度及其借鉴[J];华北金融;2009年06期
本文编号：2304117
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