我国证券投资基金份额持有人大会制度相关问题研究.doc

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摘要:证券投资基金份额持有人大会制度是基金份额持有人行使意思表达权利、实现对基金运行管理状况监督的决策和监督机构,对于基金份额持有人利益保护具有重大意义。但其又存在诸多问题,诸如法定人数、召集权的设置导致大会召开困难;提案权、表决权的设置导致持有人处于劣势;法律救济途径的缺失导致持有人利益得不到有效保护;会议种类缺乏区分、托管人的选定导致大会设置存在缺陷等。本文经过研究认为,通过降低法定人数要求、赋予基金份额持有人与基金管理人平行的召集权和提案权、设置表决权代理机制、落实大会的决议执行、区分基金份额持有人大会的种类、设立大会常设机构、由基金份额持有人负责基金托管人的选定等方法,可以对基金份额持有人大会制度作出相应改进,由此完善我国的证券投资基金份额持有人利益保护机制。

关键词:证券投资基金 基金份额持有人大会 基金份额持有人

 

英文摘要:The fund share holders' meeting system of the securities investment fund is a decision-making and oversight setup which enables the right of fund share holders to express their willings and the implementation of fund share holders to supervise the  operating and managing status of the fund , which means significantly to protect the share holders’ profit .  But this system still has a lot of problems : such as the setting of quorum、convenning power leads to the difficulty of the meeting’s openning ; the setting of the peoposal rights and voting rights leads to the inferior position of the share holders ; the lack of the legal remedy leads to the insufficient protection of the share holders’ benefit ; the lack of differentiation of the types of meeting and the choosing right of trustee leads to serious bugs of this system . After study , this essay finds out that via reducing the quorum requirement 、enduing share holders the rights of convening and proposing parallel to the fund manager、Setting up the voting rights proxy mechanism 、 impelementing of the resolutions of the meeting 、 differentiating differrent types of the meeting 、 establishing a permanent insitution 、 letting share holders choosing the trustee of the fund , and so on , they shall make corresponding improvement of the fund share holders' meeting system of the securities investment fund ,thus perfecting the mechanism of protecting share holders’ benefit . 


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