本文關(guān)鍵詞： 私募股權(quán)投資基金 法律監(jiān)管 投資者 基金管理人　出處：《華東政法大學(xué)》2012年碩士論文　論文類(lèi)型：學(xué)位論文

【摘要】：中國(guó)的私募股權(quán)投資基金發(fā)展迅猛，私募股權(quán)投資基金的運(yùn)作面臨法律空白的尷尬。國(guó)際上因2008年金融“海嘯”引發(fā)了新一輪對(duì)金融監(jiān)管的探討，國(guó)內(nèi)理論界和實(shí)務(wù)界也掀起對(duì)私募股權(quán)投資基金進(jìn)行有效監(jiān)管的熱議。本文從私募股權(quán)投資基金的法律監(jiān)管角度，立足中國(guó)私募股權(quán)投資基金的發(fā)展情況和監(jiān)管現(xiàn)狀，比較借鑒國(guó)外私募發(fā)達(dá)國(guó)家的監(jiān)管經(jīng)驗(yàn),針對(duì)當(dāng)前私募股權(quán)投資基金面臨的因“無(wú)法可依”、監(jiān)管缺失所帶來(lái)的發(fā)展困境和問(wèn)題，從宏觀的監(jiān)管思路到微觀的具體立法及政策監(jiān)管方面進(jìn)行探討，提出對(duì)策。從保護(hù)投資者的理念出發(fā)，倡導(dǎo)完善監(jiān)管思路和策略，完善信息披露制度，改變政出多頭令私募基金無(wú)所適從的局面等方面，對(duì)我國(guó)私募股權(quán)投資基金的法律監(jiān)管提供一些建議。以期監(jiān)管當(dāng)局盡快理出清晰有效的管理思路，實(shí)施適度合理的監(jiān)管舉措，促進(jìn)私募股權(quán)投資基金的長(zhǎng)期健康發(fā)展。 本文分五個(gè)部分分析和研究私募股權(quán)投資基金的法律監(jiān)管問(wèn)題。首先，引言簡(jiǎn)單介紹了私募股權(quán)投資基金的發(fā)展及它作為中國(guó)資本市場(chǎng)連接金融資本和產(chǎn)業(yè)資本之間的重要紐帶，對(duì)中國(guó)經(jīng)濟(jì)及資本市場(chǎng)發(fā)展意義重大而卻面臨法律缺失、監(jiān)管空白的問(wèn)題，以引出本文探討的必要。 第一章主要是介紹私募股權(quán)投資基金的基本理論，包括對(duì)私募基金的概念進(jìn)行界定，對(duì)其基本特征、主要的組織形式和運(yùn)作模式進(jìn)行了簡(jiǎn)單的介紹。 第二章是對(duì)私募股權(quán)投資基金在我國(guó)發(fā)展的縱覽，包括它在我國(guó)三十年的發(fā)展歷程概況和當(dāng)前的發(fā)展形勢(shì)及它給我國(guó)的經(jīng)濟(jì)金融市場(chǎng)帶來(lái)的有利和不利影響，期待從歷史的角度客觀全面的認(rèn)識(shí)我國(guó)的私募股權(quán)投資基金的發(fā)展。 第三章從橫向比較的角度，選取了私募股權(quán)投資基金發(fā)展較為繁榮的四個(gè)國(guó)家作為比較對(duì)象。分別對(duì)美國(guó)、英國(guó)、日本和德國(guó)這四個(gè)國(guó)家的私募股權(quán)投資基金法律監(jiān)管策略進(jìn)行分析，以期對(duì)我國(guó)私募基金的監(jiān)管提供有益的借鑒或參考。 第四章先對(duì)目前我國(guó)關(guān)于私募股權(quán)投資基金監(jiān)管的法律法規(guī)或政策規(guī)定進(jìn)行梳理闡述，，后著重探討我國(guó)私募股權(quán)投資基金監(jiān)管面臨的現(xiàn)狀及存在的主要問(wèn)題。 第五章針對(duì)上述的我國(guó)的私募股權(quán)投資基金面臨的形勢(shì)和問(wèn)題結(jié)合我國(guó)的現(xiàn)實(shí)，提倡統(tǒng)一立法，完善監(jiān)管策略和舉措，試圖對(duì)促進(jìn)我國(guó)私募股權(quán)投資基金的監(jiān)管進(jìn)程提供一些粗淺的建議。
[Abstract]:Private equity funds in China are developing rapidly, and the operation of private equity funds is facing the embarrassment of legal blank. The international financial "tsunami" in 2008 triggered a new round of discussion on financial regulation. Domestic theorists and practitioners have also raised the hot debate on the effective supervision of private equity investment funds. This article from the perspective of legal supervision of private equity investment funds. Based on the development and regulatory status of private equity funds in China, this paper compares the regulatory experience of foreign private equity investment funds in developed countries, and aims at the reasons that private equity funds are facing. The development dilemma and problems brought about by the lack of supervision are discussed from the macro supervision thinking to the micro specific legislation and policy supervision, and the countermeasures are put forward, starting from the idea of protecting investors. Advocate to improve regulatory ideas and strategies, improve the information disclosure system, and change the political situation that makes private equity funds confused and so on. To provide some suggestions on the legal supervision of private equity investment funds in China, in the hope that the regulatory authorities can work out clear and effective management ideas as soon as possible, and implement appropriate and reasonable regulatory measures. To promote the long-term and healthy development of private equity investment funds. This paper is divided into five parts to analyze and study the legal supervision of private equity investment funds. First of all. The introduction briefly introduces the development of private equity investment fund and its important link between financial capital and industrial capital as a capital market in China. It is of great significance to the development of Chinese economy and capital market, but it is faced with the problem of lack of law and supervision, which leads to the necessity of this article. The first chapter mainly introduces the basic theory of private equity investment fund, including the definition of the concept of private equity fund, its basic characteristics, the main organizational forms and operating mode of a simple introduction. The second chapter is an overview of the development of private equity funds in China, including its 30 years of development in China and the current situation of development and its economic and financial markets to bring advantages and adverse effects. Looking forward to an objective and comprehensive understanding of the development of private equity funds in China from the perspective of history. In the third chapter, from the perspective of horizontal comparison, we choose four countries which are more prosperous in the development of private equity investment fund as the comparative object, respectively, to the United States and the United Kingdom. This paper analyzes the legal supervision strategies of private equity funds in Japan and Germany in order to provide a useful reference for the supervision of private equity funds in China. Chapter 4th is about the regulation of private equity fund regulation in China. After that, the paper focuses on the current situation and main problems of the supervision of private equity funds in China. According to the situation and problems faced by the private equity investment funds in China, the 5th chapter advocates unified legislation and perfect supervision strategies and measures. Try to promote the supervision of private equity funds in China to provide some superficial suggestions.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類(lèi)號(hào)】：D922.287;F832.51

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