發(fā)布時間：2018-03-19 22:40

  本文選題：法律制度　切入點：規(guī)范　出處：《首都經(jīng)濟貿(mào)易大學》2011年碩士論文　論文類型：學位論文

【摘要】：私募基金是中國證券市場發(fā)展至今遇到的比較新的問題,伴隨著我國經(jīng)濟的飛速發(fā)展和公民個人有效儲蓄的增加,對投資理財工具的種類有了更豐富的要求,這是市場的自發(fā)需求。高風險與高收益并存的私募基金憑借其獨特特點成為投資者的理想投資工具,私募基金自身具有很多優(yōu)勢,但由于法律至今仍未給予其明確的法律地位,使我國目前的私募基金處于無人管理的尷尬境地,這樣容易引發(fā)非法操作,如不采取措施防范,會嚴重危害投資者的利益,進而不利于我國證券市場的穩(wěn)定和經(jīng)濟的健康有序發(fā)展。因此,對這個問題的研究是有很強的現(xiàn)實意義的,對私募基金的法律制度進行研究也是十分必要的。 本文主要分為六大部分： 第一部分是引言,從選題背景與意義、文獻綜述、研究方法和不足之處四個方面來介紹。 第二部分是對私募基金進行法律界定,首先從私募基金的定義、私募基金的法律特征、私募基金的分類和私募基金的組織形式這幾個方面來對私募基金的涵義進行界定；其次介紹私募基金的法律性質(zhì),把私募基金與其他相關(guān)概念進行區(qū)分,如私募基金與公募基金的區(qū)別,私募基金與非法集資的區(qū)別等；最后對私募基金的法律性質(zhì)進行基本分析。 第三部分是對我國私募基金發(fā)展歷史進行基本介紹,首先對我國私募基金目前的發(fā)展狀況進行介紹,細分為私募證券投資基金和私募股權(quán)投資基金；其次介紹我國私募基金目前主要的表現(xiàn)形式；然后對我國私募基金的興起發(fā)展進行原因分析；最后找出我國私募基金發(fā)展中存在的主要問題。 第四部分是分析我國現(xiàn)行法律法規(guī)關(guān)于私募基金的相關(guān)規(guī)定及不足,分別從公司法、信托法、合伙企業(yè)法、證券法、證券投資基金法來找出與私募基金的相關(guān)規(guī)定及存在的不足。 第五部分提出完善我國私募基金法律制度的基本構(gòu)想,如將私募基金納入我國現(xiàn)有的法律框架內(nèi),確定私募基金的認定標準和監(jiān)管思路,規(guī)范完善私募基金的市場準入法律制度和規(guī)范完善私募基金的風險防范制度。 最后一部分提出完善我國私募基金法律制度的具體措施,分為兩個部分。第一部分是完善私募基金市場主體的法律制度；第二部分是完善我國私募基金運行的法律制度,分別從基金設立的備案制度,基金轉(zhuǎn)售限制制度,基金托管法律制度,基金的信息披露制度,·健全國內(nèi)的信用制度等方面來闡述。
[Abstract]:Private equity fund is a relatively new problem in the development of China's securities market. With the rapid development of our economy and the increase of the effective savings of citizens, there is a richer demand for the types of investment and financing tools. This is the spontaneous demand of the market. Private equity funds with high risk and high yield have become the ideal investment tools for investors because of their unique characteristics. Private equity funds have many advantages, but the law has not yet given them a clear legal status. The present private equity fund in our country is in the awkward situation of no one being managed, so it is easy to cause illegal operation. If we do not take measures to prevent it, it will seriously harm the interests of investors. Therefore, the study on this issue is of great practical significance, and it is also necessary to study the legal system of private equity funds. This paper is divided into six parts:. The first part is the introduction, from the background and significance of the topic, literature review, research methods and deficiencies to introduce four aspects. The second part is the legal definition of private equity fund, first of all, from the definition of private equity fund, the legal characteristics of private equity fund, the classification of private equity fund and the form of organization of private equity fund to define the meaning of private equity fund; Secondly, it introduces the legal nature of private equity fund, and distinguishes private equity fund from other related concepts, such as the difference between private fund and public offering fund, the difference between private fund and illegal fund raising and so on. Finally, the legal nature of private funds is analyzed. The third part is a basic introduction to the development history of private equity funds in China. Firstly, the development of private equity funds in China is introduced, which is divided into private equity investment funds and private equity investment funds. Secondly, it introduces the main manifestations of private equity funds in China; then analyzes the reasons for the rise and development of private equity funds in China; finally, finds out the main problems in the development of private equity funds in China. Part 4th is the analysis of the current laws and regulations on private equity fund related provisions and deficiencies, respectively from the company law, trust law, partnership enterprise law, securities law, Securities Investment Fund Law to find out the relevant regulations and shortcomings of private funds. Part 5th puts forward the basic idea of perfecting the legal system of China's private equity fund, such as bringing private equity fund into the existing legal framework of our country, determining the standard of private equity fund's identification and the idea of supervision. Standardize and perfect the market access legal system of private equity fund and perfect the risk prevention system of private equity fund. The last part puts forward the concrete measures to perfect the legal system of China's private equity fund, which is divided into two parts. The first part is to perfect the legal system of the main body of the private equity fund market; the second part is to perfect the legal system of the operation of the private equity fund in our country. This paper expounds the record system of fund establishment, the restriction system of fund resale, the legal system of fund trusteeship, the information disclosure system of fund, the perfection of domestic credit system and so on.
【學位授予單位】：首都經(jīng)濟貿(mào)易大學
【學位級別】：碩士
【學位授予年份】：2011
【分類號】：D922.28;F832.51

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