本文選題：和諧社會(huì) + 第三域　； 參考：《西南政法大學(xué)》2008年碩士論文

【摘要】： “第三域”是以實(shí)現(xiàn)社會(huì)公益為目的,與公共權(quán)力領(lǐng)域和私人領(lǐng)域并行存在的社會(huì)空間。它也被理解為政府和市場(chǎng)經(jīng)濟(jì)主體之外社會(huì)自治組織。在現(xiàn)代社會(huì)治理機(jī)制中,它具有政府和市場(chǎng)經(jīng)濟(jì)主體不能內(nèi)涵的功能。幾年來,中國(guó)全方位展開和諧社會(huì)建設(shè),與此同時(shí),民間自發(fā)產(chǎn)生的私募證券投資基金已發(fā)展壯大,規(guī)模已超萬億人民幣,且大量主體頻繁參與其發(fā)起、管理,將其稱為“業(yè)”實(shí)不為過。它的存在和發(fā)展既能在諸方面促進(jìn)中國(guó)社會(huì)和諧前行,也給和諧社會(huì)帶來了不少隱患。面對(duì)它,為實(shí)現(xiàn)它本身及其相關(guān)領(lǐng)域的和諧發(fā)展,在政府與“第三域”間,是否應(yīng)主要運(yùn)用“第三域”對(duì)它進(jìn)行治理,為何應(yīng)主要運(yùn)用“第三域”對(duì)它進(jìn)行治理,怎樣主要運(yùn)用“第三域”對(duì)它進(jìn)行治理,便成為本文所作研究期許能夠回答的核心問題。 本文除引言和結(jié)論外分四部分。各部份基本內(nèi)容如下: 第一部份分兩節(jié)。第一節(jié)首先對(duì)本文所指“第三域”予以界明。其次,有所針對(duì)地對(duì)中西方學(xué)界關(guān)于“第三域”的研究成果予以介紹,據(jù)其研究成果,對(duì)“第三域”基本社會(huì)功能作了總結(jié)和引申。第二節(jié)對(duì)和諧社會(huì)“第三域”建設(shè)必要性從歷史觀、最高層決策、現(xiàn)實(shí)社會(huì)需要三個(gè)唯度進(jìn)行論證。認(rèn)為建設(shè)和諧社會(huì),就有必要發(fā)展“第三域”,有必要在特定社會(huì)領(lǐng)域積極培養(yǎng)和發(fā)揮其能力。 第二部份分兩節(jié)。第一節(jié)是對(duì)私募證券投資基金基本問題的研究,分五小節(jié)。第一小節(jié)是對(duì)私募證券投資基金的界定(簡(jiǎn)稱私募基金)。第二小節(jié)論述私募基金與公募證券投資基金區(qū)別,基于區(qū)別認(rèn)為可在政府監(jiān)管之外,探索有別于公募證券投資基金的治理路徑。第三小節(jié)對(duì)發(fā)達(dá)國(guó)家私募基金相似金融投資產(chǎn)品相關(guān)法制作了考察,認(rèn)為私募基金是市場(chǎng)經(jīng)濟(jì)發(fā)展必然產(chǎn)物,發(fā)達(dá)國(guó)家對(duì)其相似物的基本態(tài)度是豁免登記和直接行政監(jiān)管,這是我國(guó)私募基金國(guó)家法制方向。第四小節(jié)對(duì)私募基金在我國(guó)發(fā)展史與現(xiàn)狀作了考察,認(rèn)為其在我國(guó)形成和發(fā)展具有強(qiáng)烈“草根性”,規(guī)模已頗為龐大,涉及主體眾多,運(yùn)作方式復(fù)雜。這是市場(chǎng)經(jīng)濟(jì)“理性人”和市民社會(huì)“自由人”共同作用的結(jié)果。是探索其治理機(jī)制應(yīng)承認(rèn)的事實(shí)前提。第五小節(jié)對(duì)我國(guó)私募基金法律、政策環(huán)境作了考察,認(rèn)為目前法制簡(jiǎn)單、滯后,法律、政策、監(jiān)管環(huán)境有待放開。第二節(jié)論述私募基金對(duì)和諧社會(huì)建設(shè)影響,分兩小節(jié)。第一小節(jié)從五方面分析私募基金對(duì)和諧社會(huì)建設(shè)正面影響,第二小節(jié)從五方面分析私募基金對(duì)其建設(shè)負(fù)面影響。認(rèn)為既不能使私募基金完全游離于管理之外,又不能對(duì)其管之過緊,應(yīng)探索既能抑制其負(fù)面影響,又能維護(hù)其發(fā)展利益,發(fā)揮其正面作用的治理路徑。 第三部份作為本論(一),研究任務(wù)是實(shí)現(xiàn)本文理論創(chuàng)新,分兩節(jié)。第一節(jié)在前兩部份所作理論和事實(shí)鋪墊上,提出形成以政府為指導(dǎo),開展私募基金發(fā)起、管理業(yè)務(wù)的“投融資中間人”的自治組織為中軸,基金的直接參與主體為基礎(chǔ),自治組織管理普通和“重大”私募基金,政府只直接監(jiān)管“重大私募基金”并通過管理自治組織管理基金的基本治理路徑和本文中心論點(diǎn)即在政府與“第三域”間,“主要運(yùn)用‘第三域'對(duì)私募基金業(yè)進(jìn)行治理”。第二節(jié)運(yùn)用商法學(xué)價(jià)值分析法,從互為辨證的自由、秩序、效益(率)三大價(jià)值對(duì)基本治理路徑和中心論點(diǎn)理性程度進(jìn)行了思考和分析,分三小節(jié)。第一小節(jié)首先論述自由與中世紀(jì)商人行會(huì)商人習(xí)慣法的關(guān)系。其次,論述行政監(jiān)管主導(dǎo)性與基金業(yè)發(fā)展自由和商法自由價(jià)值背離。再次,論證現(xiàn)代商法內(nèi)含商人習(xí)慣法,我國(guó)私募基金業(yè)習(xí)慣法能維護(hù)行業(yè)成員自由利益,能將商法自由價(jià)值予以承繼。第二小節(jié)首先論述自由要受秩序限制,但這種秩序須保障正當(dāng)自由。其次,論證我國(guó)私募基金業(yè)“國(guó)家商事法權(quán)秩序”滯后和構(gòu)建進(jìn)程艱難之實(shí)際。再其次,針對(duì)決策層慣用政策調(diào)控私募基金等市場(chǎng)經(jīng)濟(jì)微觀問題的現(xiàn)象,論述政策不是“國(guó)家商事法權(quán)秩序”。接著,據(jù)“自由秩序原理”和“社會(huì)契約理論”,提出構(gòu)建我國(guó)私募基金業(yè)“民間商事法權(quán)秩序”。最后,論述“民間商事法權(quán)秩序”是“國(guó)家商事法權(quán)秩序”建構(gòu)和維系的“催化劑”和補(bǔ)充。第三小節(jié)首先論述效益(率)是自由和秩序目的。其次,論證中世紀(jì)商人行會(huì)對(duì)效益促進(jìn)作用。再其次,應(yīng)用制度經(jīng)濟(jì)學(xué)“市場(chǎng)-政府雙失效”理論論述現(xiàn)代市場(chǎng)經(jīng)濟(jì)“第三域”產(chǎn)生必然性。接著,據(jù)此理論,從三層面論述行政監(jiān)管主導(dǎo)性與私募基金市場(chǎng)效益關(guān)系。最后,從四層面論述“第三域”治理與私募基金市場(chǎng)效益關(guān)系。 綜合前三部分研究結(jié)果,實(shí)際上從社會(huì)學(xué)、政治學(xué)、歷史學(xué)、法學(xué)、哲學(xué)、經(jīng)濟(jì)學(xué)等角度,回答了是否應(yīng)和為何應(yīng)主要運(yùn)用“第三域”對(duì)私募基金業(yè)進(jìn)行治理。因此,作為本論(二),第四部份研究任務(wù)是實(shí)現(xiàn)本文制度創(chuàng)新,回答怎樣主要運(yùn)用“第三域”治理私募基金業(yè),分四節(jié)。 第一節(jié)論述我國(guó)私募基金業(yè)自治機(jī)制組織保障,分五小節(jié)。第一小節(jié)論述以開展私募基金發(fā)起、管理業(yè)務(wù)的“投融資中間人”作為自治機(jī)制組織保障切入點(diǎn)原因。第二小節(jié)論述不以主體類型不同,而以基金發(fā)起和管理行為標(biāo)準(zhǔn)設(shè)立相對(duì)統(tǒng)一自治管理系統(tǒng)必要性。第三小節(jié)論述以應(yīng)用既有自治組織為原則,新設(shè)自治組織為例外的自治系統(tǒng)基本設(shè)置方式。第四小節(jié)通過對(duì)我國(guó)大陸各省級(jí)地區(qū)和部分副省級(jí)市、縣級(jí)以上基層地區(qū)同私募基金發(fā)起、管理相關(guān)各主要類自治組織及其會(huì)員考察,提出以證券業(yè)自治組織為自治系統(tǒng)主要組織支持,以基金發(fā)起、管理業(yè)務(wù)相關(guān)非證券業(yè)既有自治組織為輔助組織支持。第五小節(jié)首先論述將中國(guó)證券業(yè)協(xié)會(huì)(簡(jiǎn)稱“中國(guó)證協(xié)”)作為全國(guó)性私募基金業(yè)法定自治組織。其次,論述中國(guó)證協(xié)在內(nèi)蒙古之外其它省級(jí)地區(qū)直接指定法定自治組織。就內(nèi)蒙古,論述特殊指定方式,包括應(yīng)考量因素、指定程序(含如何取得合法性)、例外情形。再次,論述中國(guó)證協(xié)可直接指定深圳、青島等五副省級(jí)市證券業(yè)自治組織作為該市法定自治組織,并通過對(duì)武漢之外另九個(gè)副省級(jí)市考察,論述中國(guó)證協(xié)可在必要時(shí)指定證券業(yè)或相關(guān)非證券業(yè)自治組織作為其法定自治組織,副省級(jí)市和所屬省份自治組織管理權(quán)能地域效力相互獨(dú)立。也對(duì)指定方式和限制因素作了論述。最后,通過對(duì)我國(guó)溫州、東莞、中山以及其它部分縣級(jí)以上基層地區(qū)經(jīng)濟(jì)、金融業(yè)含私募基金業(yè)發(fā)展現(xiàn)狀考察,結(jié)合私募基金業(yè)發(fā)展?jié)摿臀覈?guó)金融政策指引以及規(guī)范民間私募基金必要性,論述省和副省級(jí)地區(qū)法定自治組織,可在確有必要時(shí),指定基層地區(qū)證券業(yè)或相關(guān)非證券業(yè)自治組織作為該地法定自治組織必要性,對(duì)指定方式、實(shí)體限制因素以及更嚴(yán)格程序限制等方面作了論述。 第二節(jié)論述私募基金發(fā)起、管理主體加入自治組織機(jī)制,分二小節(jié)。第一小節(jié)論述以開展私募基金發(fā)起、管理業(yè)務(wù)的企業(yè)及其分支機(jī)構(gòu)工商登記為據(jù)確定其自治組織。第二小節(jié)首先分析非企業(yè)組織和自然人在我國(guó)發(fā)起、管理的私募基金形式。提出如基金載體需工商登記,以工商登記確定自治組織,如基金載體是常見之不起字號(hào)個(gè)人合伙,與自然人合論。其次,通過對(duì)美國(guó)有關(guān)私募基金管理人法制和我國(guó)私募基金發(fā)起、管理自然人正負(fù)影響分析,認(rèn)為從長(zhǎng)計(jì)宜,在法律和政策上,可允許自然人開展基金發(fā)起、管理業(yè)務(wù),但在目前有必要將其納入自治管理,并以其戶籍登記確定自治組織。 第三節(jié)擇重要方面,就私募基金業(yè)法定自治組織在行業(yè)治理中作用作了論述,分三小節(jié)。第一小節(jié)在八方面強(qiáng)調(diào)自治組織對(duì)行業(yè)和會(huì)員發(fā)展利益的維護(hù)。第二小節(jié)在七方面強(qiáng)調(diào)對(duì)行業(yè)成員自律。第三小節(jié)就自治組織對(duì)會(huì)員業(yè)務(wù)進(jìn)行規(guī)范指引和對(duì)外部主體予以輻射作了論述。 第四節(jié)論述政府對(duì)私募基金及其行業(yè)自治機(jī)制法制規(guī)范,分三小節(jié)。第一小節(jié)論述當(dāng)前我國(guó)治理私募基金業(yè)規(guī)范性法律文件適當(dāng)載體。第二小節(jié)對(duì)規(guī)范性法律文件制定途徑作論述。第三小節(jié)論述規(guī)范性法律文件內(nèi)容。首先論述對(duì)基金本身抓大放小,就重要方面作必要規(guī)定。其次,就自治機(jī)制法律規(guī)范提出建議,一方面是對(duì)上述自治機(jī)制組織保障和基金發(fā)起、管理人加入自治組織機(jī)制核心思想和內(nèi)容總結(jié),另一方面是對(duì)上述思想和內(nèi)容的必要補(bǔ)充,以為我國(guó)私募基金業(yè)自治機(jī)制有效運(yùn)行提供制度供給。 綜上,本文四部份遵循演繹邏輯基本規(guī)律,回答了“是否應(yīng)”,“為何應(yīng)”,“怎么做”三個(gè)層層遞進(jìn)核心問題,圍繞“主要運(yùn)用‘第三域'對(duì)私募基金業(yè)進(jìn)行治理”,從多角度和方面展開了論述,完成了本文以“理論創(chuàng)新”帶動(dòng)“制度創(chuàng)新”的研究任務(wù)。但“創(chuàng)新”還不是“完好”,因此筆者勉力為此文,僅完成了對(duì)中國(guó)私募基金業(yè)“第三域”治理機(jī)制研究的第一步。
[Abstract]:The "third domain" is a social space which aims at realizing social public welfare and exists in parallel with the field of public power and private sector. It is also understood as a social self-governing organization outside the government and the main body of the market economy. In the modern social governance mechanism, it has the function that the government and the main body of the market economy can not be intension. At the same time, the private equity investment fund, which is spontaneously produced by the folk, has grown and expanded, and the scale has exceeded the trillion yuan. And a large number of subjects are frequently involved in its initiation, management, and it is not too hard to call it "industry". Its existence and development can promote the harmonious advance of Chinese society and bring to a harmonious society in all aspects. In the face of it, in order to realize the harmonious development of its own and its related fields, whether the government and the "third domains" should be mainly used to govern it with the "third domains", why should we mainly use the "third domains" to govern it, and how to use the "third domains" to govern it, so it becomes the study of this article. The core question that is expected to be answered.
In addition to the introduction and conclusion, this article is divided into four parts.
The first section is divided into two sections. First, the first section gives the definition of the "third domains". Secondly, it introduces the research achievements of the "third domains" by the Chinese and Western academics. According to the results of the study, the basic social functions of the "third domains" are summarized and extended. The second section is necessary for the construction of the "third domains" in the harmonious society. From the view of history, the decision of the highest level and the need of the real society, it is necessary to demonstrate the need for three reasons. It is necessary to develop the "third domains" in the construction of a harmonious society. It is necessary to develop and exert its ability in a specific social field.
The second part is divided into two sections. The first section is a study of the basic problems of private equity investment funds. The first section is divided into five sections. The first section is the definition of private equity investment funds (private equity funds). Second sections discuss the difference between private fund and public fund investment fund. Based on the distinction between the government supervision, the exploration is different from the public offering. The third section makes an investigation on the related laws of similar financial investment products of private funds in developed countries. It is considered that private fund is the inevitable product of the development of market economy, and the basic attitude of developed countries to its similar objects is exemption registration and direct administrative supervision, which is the national legal direction of private equity funds in China. Fourth The section examines the development history and present situation of private fund in China. It holds that its formation and development in China has a strong "grassroots", which has a large scale, involving many subjects and complicated operation mode. This is the result of the joint role of "rational man" in the market economy and the "free man" of civil society. It is to explore its governance mechanism. The fifth section makes a survey on the law and policy environment of private equity fund in China. It thinks that the legal system is simple, lagging, law, policy and regulatory environment need to be released. The second section discusses the impact of private fund on the construction of harmonious society, which is divided into two sections. The first section analyses the positive impact of private fund on the construction of harmonious society from five aspects. The second section analyzes the negative impact of private fund on its construction from five aspects. It thinks that the private fund can not be completely free from management and can not be tighten to its management. It should explore the way to prevent its negative effects and maintain its development interests and play its positive role.
The third part as this theory (1), the research task is to realize the theoretical innovation of this article, which is divided into two sections. The first section, in the first two parts of the theory and the facts, put forward the formation of the government as the guidance, the launch of private fund, the management business of the "investment and financing intermediaries" autonomous organization is the central axis, the direct participation of the main body of the fund as the basis, autonomy Organization and management of ordinary and "major" private equity funds, the government only directly supervision of "major private equity funds" and through the management of the basic governance path of the management of self-government organizations and the central argument that the government and the "third fields", "the main use of the 'third fields" for private fund management. The second section uses the value of commercial law. The analysis method, from the three values of the dialectical freedom, order and benefit (rate), thought and analyzed the basic governance path and the central argument rationality. The first section first discussed the relationship between freedom and the customary law of merchant guilds in Medieval merchants. Secondly, the dominance of administrative supervision and the freedom of the development of the fund industry and the commercial law were discussed. Thirdly, the free value of the commercial law is demonstrated in modern commercial law. The customary law of private fund industry in our country can maintain the free interest of the members of the industry and inherit the free value of the commercial law. The second sections first discuss the freedom to be restricted by order, but this order must guarantee the proper freedom. Secondly, to demonstrate the "national business of private fund industry in our country". Second, the policy is not "the order of national commercial legal rights". Then, according to "the principle of free order" and "the theory of social contract", we put forward the construction of the private fund industry of our country "people". In the end, the "civil commercial legal power order" is a "catalyst" and a supplement to the construction and maintenance of "national commercial legal right order". Third sections first discuss the benefit (rate) is the purpose of freedom and order. Secondly, the role of the medieval merchant guild is demonstrated. Secondly, the application of institutional economics "city" The theory of "field government double failure" discusses the inevitability of the "third domains" in modern market economy. Then, according to this theory, the relationship between the dominance of administrative supervision and the benefit of private fund market is discussed from the three level. Finally, the relationship between the governance of "third domains" and the market benefit of private fund is discussed from the four level.
The results of the first three parts of the study, in fact, from the perspectives of sociology, politics, history, law, philosophy and economics, answered whether or not the "third domains" should be used mainly to govern the private fund industry. Therefore, as this theory (two), the fourth part of the research task is to realize the innovation of this system and how to answer the main application. The third domain "manages the private fund industry, which is divided into four sections."
The first section discusses the organization guarantee of private fund autonomy mechanism in China, which is divided into five sections. The first section discusses the reason why the "investment and financing intermediaries" which are launched by private funds and the management of the "investment and financing intermediaries" are the starting points for the organization of the self-government organization. The second sections are not based on the different types of subjects, but the relative standards of fund initiation and management are set up. The necessity of the unified autonomous management system. The third section discusses the basic setting way of the application of the autonomous organization as the principle, the new autonomous organization as an exception. The fourth section manages the major autonomous groups through the administration of the private funds at the provincial level and some sub provincial cities in the mainland of China and the private raising funds at the county level and above the county level. Textile and its members study, proposed that the securities industry autonomous organization as the main organization of the autonomy system support, the fund, management business related non securities industry organizations for the support of the auxiliary organization. Fifth section first discusses the China Securities Association ("China certificate Association") as a national private fund legal autonomy organization. This article discusses the direct nominated statutory self-government organizations in other provinces and regions outside Inner Mongolia. On Inner Mongolia, the special designated methods are discussed, including the consideration of factors, the specified procedures (including how to obtain legitimacy), and the exceptions. Again, the China Securities Association can directly refer to the five provincial security autonomous organizations of Shenzhen and Qingdao as the autonomous organization of the provincial securities industry. The city's statutory self-government organization, and through the inspection of nine other sub provincial cities outside Wuhan, argues that the securities and related non securities autonomous organizations can be designated as their legal autonomous organizations when necessary. The administrative power and energy of the provincial and provincial autonomous organizations are independent of each other. Finally, through the investigation on the current situation of the private fund industry in the economy of Wenzhou, Dongguan, Zhongshan and other parts of the county level and above, the development of private fund industry in the financial industry is investigated. The legal autonomy organizations of provincial and sub provincial areas are discussed in combination with the development potential of the private fund industry and the guidance of our financial policy and the necessity of standardizing the private private placement fund. When it is necessary, it is necessary to designate the securities industry in the grass-roots area or the autonomous organization of non securities industry as the necessity of the legal autonomous organization of the land, and discuss the specified way, the entity restriction factor and the stricter procedural restriction.
The second section discusses the launching of private fund, the management body joins the self-governing organization mechanism, and it is divided into two sections. The first section discusses the launching of private fund, the business registration of the management business and its branch business registration as the self-governing organization. The second section analyses the private fund which is initiated and managed by non enterprise organizations and natural people in our country. In the form of a fund carrier, it is suggested that an industrial and commercial registration should be required to establish an autonomous organization with industrial and commercial registration, such as a fund carrier, which is not a personal partnership and a natural person. Secondly, through the launch of the legal system of private fund managers in the United States and the private fund of our country, the analysis of the positive and negative effects of natural persons is analyzed. In policy, natural persons may be allowed to initiate and manage their businesses, but at present it is necessary to include them in the autonomy management, and to set up autonomous organizations with their household registration.
In the third section, the role of the private fund legal self-government organization in the industry governance is discussed, which is divided into three sections. The first section emphasizes the maintenance of the self-government organization for the development interests of the industry and members in eight aspects. The second section emphasizes the self-discipline for the members of the industry in seven respects. The third section will standardize the business of the self-governing organizations to the members' business. The guidance is discussed with the external subject to be radiated.
The fourth section discusses the government's legal regulation of private fund and its industry autonomy mechanism, which is divided into three sections. The first section discusses the current proper carrier for the normative legal documents of private equity fund management in China. Second sections discuss the ways of formulating normative legal documents. Third sections discuss the content of normative legal documents. First, the foundation of the fund is discussed. On the other hand, it is a necessary supplement to the thought and content of the self-government organization mechanism, and the necessary supplement to the thinking and content mentioned above, and the private fund industry in our country. The effective operation of the autonomous mechanism provides the supply of the system.
To sum up, the four part of this paper, following the basic law of deductive logic, answers the question of "whether to be", "why", "how to do" and "how to do" three layers of core issues, and to "govern the private fund industry with the main use of the third fields", from many angles and aspects, and complete this article with "theoretical innovation" to drive the "system creation". "New" research task. But "innovation" is not "good" yet, so I am trying to do this, only to complete the first step in the study of the "third domain" governance mechanism of the Chinese private fund industry.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2008
【分類號(hào)】：F832.51

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 巴曙松;;日本對(duì)沖基金發(fā)展?fàn)顩r及監(jiān)管經(jīng)驗(yàn)對(duì)我國(guó)的借鑒[J];當(dāng)代財(cái)經(jīng);2007年01期

2 巴曙松;;中國(guó)私募基金生存報(bào)告[J];大眾理財(cái)顧問;2007年05期

3 ;中華人民共和國(guó)合伙企業(yè)法[J];廣東審計(jì);1997年04期

4 李勛;;德國(guó)對(duì)沖基金監(jiān)管制度研究[J];時(shí)代法學(xué);2007年04期

5 秦詩立;岑丞;;商會(huì):從交易成本視角的解釋[J];經(jīng)濟(jì)管理;2002年06期

6 龔波;楊四田;;第三域在構(gòu)建和諧社會(huì)中的重要作用[J];經(jīng)濟(jì)論壇;2007年05期

7 夏 斌;中國(guó)“私募基金”報(bào)告[J];金融研究;2001年08期

8 ;中華人民共和國(guó)公司法[J];科技與法律;2005年03期

9 梁上上;論行業(yè)協(xié)會(huì)的反競(jìng)爭(zhēng)行為[J];法學(xué)研究;1998年04期

10 王玉珍;商會(huì)的生成機(jī)制及有效性理論綜述[J];南開經(jīng)濟(jì)研究;2005年05期

，

本文編號(hào)：1976752