本文選題：主權(quán)財(cái)富基金 + 透明度�。� 參考：《復(fù)旦大學(xué)》2011年碩士論文

【摘要】：經(jīng)歷了2008年國(guó)際金融危機(jī)之后,主權(quán)財(cái)富基金作為各國(guó)外向性投資主渠道之一的一股最為重要新興力量,正面臨著各東道國(guó)以國(guó)家政治和經(jīng)濟(jì)安全為由加以阻礙的挑戰(zhàn),提高主權(quán)財(cái)富基金透明度的要求迫在眉睫。 筆者以主權(quán)財(cái)富基金的透明度制度為研究對(duì)象,以尋求合理有效的提升主權(quán)財(cái)富基金透明度的途徑為訴求,透過(guò)母國(guó)角度詳細(xì)分析中國(guó)主權(quán)財(cái)富基金的現(xiàn)狀和存在的問(wèn)題,從主權(quán)財(cái)富基金透明度的理論源泉和國(guó)外透明度成功實(shí)踐的范例中,依據(jù)現(xiàn)有的憲政法理和公司法相關(guān)制度,力圖找到中國(guó)主權(quán)財(cái)富基金透明度可借鑒之處。 除引言和結(jié)語(yǔ)外,全文共分為五章。第一章中,筆者介紹了主權(quán)財(cái)富基金的基本屬性、法律特征以及發(fā)展歷程,重點(diǎn)描述了主權(quán)財(cái)富基金低透明度的特征,引出國(guó)際社會(huì)和國(guó)內(nèi)投資者對(duì)主權(quán)財(cái)富基金透明度的關(guān)注與擔(dān)憂。 第二章中,筆者聚焦到主權(quán)財(cái)富基金透明度的理論基礎(chǔ)和監(jiān)管現(xiàn)狀,先是提出增強(qiáng)主權(quán)財(cái)富基金透明度是基于憲政理念的要求,并整理歸納出當(dāng)今國(guó)內(nèi)外主權(quán)財(cái)富基金透明度的相關(guān)指標(biāo)以供比照。繼而從國(guó)內(nèi)法的視角,對(duì)主權(quán)財(cái)富基金的法律監(jiān)管現(xiàn)狀進(jìn)行闡述,進(jìn)一步分析對(duì)主權(quán)財(cái)富基金透明度進(jìn)行法律監(jiān)管的時(shí)代趨勢(shì)。 第三章中,筆者詳細(xì)探討了主權(quán)財(cái)富基金透明度適用的法律準(zhǔn)則和投資母國(guó)針對(duì)主權(quán)財(cái)富基金的法律監(jiān)管。通過(guò)對(duì)歐盟和美國(guó)等主要投資接受國(guó)的國(guó)內(nèi)相關(guān)法律和政策的研究和分析,為我國(guó)主權(quán)財(cái)富基金在世界范圍內(nèi)的投資提供參考意見(jiàn),規(guī)避投資風(fēng)險(xiǎn)；通過(guò)比較分析世界上較為成熟的主權(quán)財(cái)富基金,為我國(guó)提供借鑒,完善我國(guó)主權(quán)財(cái)富基金的治理模式。 第四章中,筆者選取了母國(guó)對(duì)于主權(quán)財(cái)富基金透明度監(jiān)管的利益博弈為獨(dú)特視角,從改革和堅(jiān)守的正反兩面,闡述母國(guó)對(duì)主權(quán)財(cái)富基金透明度的提升背后,存在的根本利益驅(qū)動(dòng)和避險(xiǎn)意圖。 第五章中,筆者著眼于中國(guó)的主權(quán)財(cái)富基金發(fā)展及監(jiān)管,對(duì)中國(guó)投資有限責(zé)任公司進(jìn)行了剖析,對(duì)透明度運(yùn)作的監(jiān)管現(xiàn)狀進(jìn)行了闡述,針對(duì)不足之處給出了改進(jìn)意見(jiàn),并對(duì)我國(guó)在主權(quán)財(cái)富基金國(guó)際透明度制度立法過(guò)程中應(yīng)堅(jiān)持的立場(chǎng)提出了相關(guān)建議。
[Abstract]:Following the 2008 international financial crisis, sovereign wealth funds, as one of the most important emerging sources of outward investment in countries, are facing the challenge of being hindered by host countries on the grounds of national political and economic security, Calls for greater transparency in sovereign wealth funds are imminent. Taking the transparency system of sovereign wealth funds as the research object and seeking a reasonable and effective way to enhance the transparency of sovereign wealth funds, the author analyzes in detail the present situation and existing problems of China's sovereign wealth funds from the perspective of home country. From the theoretical source of transparency of sovereign wealth funds and the successful examples of transparency in foreign countries, according to the existing constitutional legal principles and the relevant systems of company law, the author tries to find out what the transparency of Chinese sovereign wealth funds can learn from. In addition to the introduction and conclusion, the full text is divided into five chapters. In the first chapter, the author introduces the basic attributes, legal characteristics and development process of SWFs, focusing on the characteristics of low transparency of SWFs. Lead to the international community and domestic investors on the transparency of sovereign wealth funds concern and concern. In the second chapter, the author focuses on the theoretical basis and regulatory status of the transparency of sovereign wealth funds. Firstly, the author puts forward that enhancing the transparency of sovereign wealth funds is based on the requirement of constitutional concept. And collate the relevant indicators of the transparency of sovereign wealth funds at home and abroad for comparison. Then from the perspective of domestic law, this paper expounds the current situation of the legal supervision of SWFs, and further analyzes the trend of legal supervision of SWFs. In the third chapter, the author discusses in detail the applicable legal rules of the transparency of sovereign wealth funds and the legal supervision of sovereign wealth funds in home countries. Through the research and analysis of the domestic laws and policies of the major recipient countries such as the EU and the United States, this paper provides reference for the investment of China's sovereign wealth funds in the world, and avoids the investment risk. Through the comparative analysis of the more mature sovereign wealth funds in the world, this paper provides reference for our country and consummates the governance mode of our country's sovereign wealth funds. In the fourth chapter, the author chooses the interest game of the home country to supervise the transparency of the sovereign wealth fund as the unique angle of view, from the positive and negative sides of the reform and stick to, expound the promotion behind the transparency of the sovereign wealth fund of the home country. There are fundamental interests driven and risk-averse intentions. In the fifth chapter, the author focuses on the development and supervision of China's sovereign wealth fund, analyzes the limited liability company of China's investment, expounds the present situation of the supervision of transparency operation, and gives some suggestions for improvement. It also puts forward some suggestions on the position that our country should adhere to in the process of the international transparency system of sovereign wealth funds.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996.4

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