集合资金信托监管法律制度研究
发布时间：2019-03-08 21:59
【摘要】：2006年后,国家及监管部门为了规范集合资金信托业务的发展,相继出台了一些规章制度,如2007年,《信托公司管理办法》、《信托公司集合资金信托计划管理办法》《关于进一步规范集合资金信托业务有关问题的通知》和《关于信托投资公司集合资金信托业务信息披露有关问题的通知》的相继出台实施,极大地规范了我国集合资金信托业务。虽然国家在集合资金信托法律制度上在不断的完善,但是在实践中还是存在诸多问题,如近期爆发的一些集合信托事件,如中信信托山峡信托计划延期兑付、中融信托青岛凯悦无人接盘、华夏银行客户经理违规销售信托理财产品等。从这些事件中可以看出,我国集合资金信托业务监管制度并不完美,尚待进一步进行研究并加以完善。 基于此,本文分为包括导论的六个部分以上述问题予以讨论： 第一部分首先对集合资金信托监管相关问题进行文献综述,梳理完整目前集合资金信托监管法律制度的研究现状,存在的问题,并寻找问题的切入点。 第二部分将介绍集合资金信托的缘起及其监管制度演进,在此将梳理集合资金信托的发展历史以及集合资金信托的监管制度变迁； 第三部分将以集合资金信托监管的法律回应为切入点,首先论证了集合资金信托监管符合经济法的价值追求；其次对我国集合资金信托监管的法律规范现状进行梳理。 第四部分将着重介绍域外一些先进国家及地方的集合资金信托监管制度,以作为本文的借鉴,主要有域外(美、英、日及我国台湾地区)集合资金信托监管法律制度现状、发展趋势及其对我国的启示； 第五部分首先主要分析了我国目前现行有效的集合资金信托监管的法律规范不足之处及原因所在；在发现国内集合资金信托监管法律制度现存的问题的基础上,借鉴域外先进的技术及管理经验,提出完善我国集合资金信托监管法律制度的建议及意见。在建议完善的法律制度中可能包含：受托人义务制度、集合资金信托业务规范监管制度、信息披露制度完善、关联交易监管制度完善及其他相关制度等。
[Abstract]:Since 2006, in order to regulate the development of trust business with pooled funds, the state and regulatory authorities have issued a number of rules and regulations, such as the regulations on the Management of Trust companies in 2007. "measures for the Administration of Trust plans of Trust companies with pooled funds" notice on further regulating matters relating to Trust Business of pooled funds and notice on Disclosure of Information on Trust Operations of pooled funds of Trust Investment companies The introduction and implementation of the It has greatly standardized the trust business of pooled funds in our country. Although the state is constantly improving the legal system of pooled funds trust, there are still many problems in practice, such as some recent incidents of pooled trust, such as the extension of payment of CITIC Trust Gorge Trust Plan. China Finance Trust Qingdao Hyatt no one to pick up, Huaxia Bank account manager illegal sales trust wealth management products and so on. It can be seen from these events that the supervision system of pooled funds trust business in China is not perfect and needs to be further studied and perfected. Based on this, this paper is divided into six parts including introduction to the above-mentioned issues to be discussed: the first part of the pooled funds trust supervision related issues of literature review, Combing the current legal system of pooled funds trust regulatory research status quo, existing problems, and looking for the entry point of the problem. The second part will introduce the origin and the evolution of the supervision system of the pooled fund trust, which will sort out the history of the development of the pooled fund trust and the change of the supervision system of the pooled fund trust. The third part will start with the legal response of the supervision of pooled funds trust, firstly, it demonstrates that the supervision of collective funds trust conforms to the value pursuit of economic law; secondly, it combs the current situation of the legal norms of the supervision of pooled funds trust in our country. The fourth part will focus on introducing the supervision system of pooled funds trust in some advanced countries and localities outside of China, as a reference for this article, mainly including the current legal system of supervision and supervision of foreign pooled funds trust (in the United States, Britain, Japan and Taiwan in China). The trend of development and its enlightenment to our country; The fifth part mainly analyzes the shortcomings and reasons of the current effective supervision of pooled funds trust in our country. On the basis of discovering the existing problems in the domestic legal system of the supervision of pooled funds trust, this paper draws lessons from the advanced technology and management experience outside the world, and puts forward some suggestions and suggestions on perfecting the legal system of the supervision of the trust of pooled funds in China. The proposed perfect legal system may include the trustee obligation system, the supervision system of pooled funds trust business, the perfect information disclosure system, the related transaction supervision system and other related systems, and so on.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.282
本文编号：2437241
[Abstract]:Since 2006, in order to regulate the development of trust business with pooled funds, the state and regulatory authorities have issued a number of rules and regulations, such as the regulations on the Management of Trust companies in 2007. "measures for the Administration of Trust plans of Trust companies with pooled funds" notice on further regulating matters relating to Trust Business of pooled funds and notice on Disclosure of Information on Trust Operations of pooled funds of Trust Investment companies The introduction and implementation of the It has greatly standardized the trust business of pooled funds in our country. Although the state is constantly improving the legal system of pooled funds trust, there are still many problems in practice, such as some recent incidents of pooled trust, such as the extension of payment of CITIC Trust Gorge Trust Plan. China Finance Trust Qingdao Hyatt no one to pick up, Huaxia Bank account manager illegal sales trust wealth management products and so on. It can be seen from these events that the supervision system of pooled funds trust business in China is not perfect and needs to be further studied and perfected. Based on this, this paper is divided into six parts including introduction to the above-mentioned issues to be discussed: the first part of the pooled funds trust supervision related issues of literature review, Combing the current legal system of pooled funds trust regulatory research status quo, existing problems, and looking for the entry point of the problem. The second part will introduce the origin and the evolution of the supervision system of the pooled fund trust, which will sort out the history of the development of the pooled fund trust and the change of the supervision system of the pooled fund trust. The third part will start with the legal response of the supervision of pooled funds trust, firstly, it demonstrates that the supervision of collective funds trust conforms to the value pursuit of economic law; secondly, it combs the current situation of the legal norms of the supervision of pooled funds trust in our country. The fourth part will focus on introducing the supervision system of pooled funds trust in some advanced countries and localities outside of China, as a reference for this article, mainly including the current legal system of supervision and supervision of foreign pooled funds trust (in the United States, Britain, Japan and Taiwan in China). The trend of development and its enlightenment to our country; The fifth part mainly analyzes the shortcomings and reasons of the current effective supervision of pooled funds trust in our country. On the basis of discovering the existing problems in the domestic legal system of the supervision of pooled funds trust, this paper draws lessons from the advanced technology and management experience outside the world, and puts forward some suggestions and suggestions on perfecting the legal system of the supervision of the trust of pooled funds in China. The proposed perfect legal system may include the trustee obligation system, the supervision system of pooled funds trust business, the perfect information disclosure system, the related transaction supervision system and other related systems, and so on.
【学位授予单位】：西南财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.282
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