证券投资基金监督问题研究.doc

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  • 更新时间:2013-08-14
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摘要:在我国金融市场中,证券投资基金己为不可或缺的金融产品,对其有效的监管有非常的现实意义。证券投资基金是一种由许多不确定的投资者将不同的出资份额汇集起来,交付专业机构进行操作经验,所获收益由投资者按出资比例分享的投资方式。证券投资基金作为市场体系的有机组成部分,同样存在着运行缺陷,所以必须对其进行有效的监管。同时,保护投资者利益,培育良好的金融环境,发展资本市场的要求,使得国家对证券投资基金市场的监管必不可少。市场缺陷理论和法学公平正义的价值理念共同铸成了证券投资基金监管的理论基础。由于我国资本市场发展程度不如西方发达国家,所以我国的证券投资基金监管需要借鉴其先进的监管经验。通过对国外的证券投资基金监管模式进行比较分析,结合我国证券投资基金监管中的本土性因素,我国当前证券投资基金监管思路应该是在健全的法律体系前提下,形成政府监管、行业自律、内部制衡和外部监督多层次的动态的投资基金监管架构。

我们应该看到,虽然我国证券投资基金的监管水平在不断完善中,但是仍然还存在着很多问题:在监管法律体系方面,法律体系不健全,部门规章繁多,法律级次较低,与其他法律衔接不够紧密,原则化表述较多,缺乏可操作性等;在基金内部治理方面,基金内部监管关系在实践中现实存在弱化的倾向,基金管理公司治理结构不够稳固,基金管理公司内部控制乏力;基金监管外部约束力不强;基金持有人私力救济机制欠缺。推进专门的投资者保护立法进程,健全信息披露制度,加强自律规制及公众监督,政府监管思路的动态变化发展,基金监管机构的专门化和集中化,确立非诉纠纷解决机制,引入“集团诉讼”,这些应该是我们证券投资基金监管制度完善的最佳路径。

关键词: 证券投资基金,外部监督,内部监督,救济

 

Abstract:The Security Investment Fund is an essenltial financial product in the financial market of China.It is of great practical significance to have regulation system on it effectively.The Security Investment Fund is a kind of investment way that invested by many uncertain investors and operated by professiona institute.All the profit from the investment will be shared pro data.The Security Investment Fund is divided into coporation type and contract type.It is operated on the basis of trusteeship.The panies to fund mainly include fund investors,fund managers and fund trustees during the process of operation.The Security Investment Fund also exist the operational defect as the organically pan of market system,so the effective regulation system is necessary.At the same time,the regulation to security investment fund market is quite necessary in order to protect the profit of investors,improve well financial environment and develop the capital market.The Defect Concept of Market and the value of fair and justice in legal formed the concept base of regulation system of Security Investment Fund.

The regulation system on Security Investment Fund in China should use the experiences from westem developed countries as reference because the development of capital market in our country is not better than them.We should realize that the regulation 1evel of our country is developing on an ongoing basis,but still have many problems.For example,incomplete legal system,complicated govemmental regulations and rules,low legallevel,defective tightness with other legal,too many principal statements,lack of operational use etc in the aspect of regulation of legal system.The internal regulation relationship tending to weakening in practice,the construct of fund management is unstable,weak internal control on fund management in the aspect of mnd internal management.On the other hand,the managent of fund lack of extemal control and the fund owner lack of private relief system.

Key Words:  Security investment fund;External supervision;Internal supervision;Relief

 


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