本文關(guān)鍵詞：論私募股權(quán)基金行業(yè)自律機制的完善　出處：《華中師范大學》2012年碩士論文　論文類型：學位論文

  更多相關(guān)文章： 私募股權(quán)基金 行業(yè)協(xié)會 自律機制 政府監(jiān)管

【摘要】：近些年,私募股權(quán)基金在中國蓬勃發(fā)展,掀起了一股全民私募熱,與私募股權(quán)基金發(fā)展勢頭迅猛形成鮮明對比的是私募股權(quán)基金行業(yè)立法的滯后及監(jiān)管的缺失。私募股權(quán)基金在推動經(jīng)濟增長和經(jīng)濟轉(zhuǎn)型方面具有重要的作用,但其高風險性和廣泛的影響性也不容忽視。私募股權(quán)基金的行業(yè)特性使得政府在監(jiān)管方面出現(xiàn)困難,政府不必要、不應(yīng)該、也無能為力進行有效監(jiān)管。因此,本文試圖研究另一監(jiān)管途徑——行業(yè)自律,以期對私募股權(quán)基金行業(yè)的健康發(fā)展有所裨益。本文正文共分四個部分。 第一部分,私募股權(quán)基金行業(yè)自律機制的法理分析。首先,對行業(yè)自律進行界定,行業(yè)自律指行業(yè)內(nèi)部的約束和管理。其次,對私募股權(quán)基金行業(yè)自律機制進行界定。自律主體是私募股權(quán)基金行業(yè)協(xié)會,行業(yè)協(xié)會規(guī)定一系列自律規(guī)則,通過自律規(guī)則之間的相互聯(lián)系和作用,發(fā)揮行業(yè)自律功能。最后,從經(jīng)濟學、社會學和法學角度闡述行業(yè)協(xié)會自律的理論基礎(chǔ)。在市場失靈、政府失靈的背景下,行業(yè)協(xié)會成為保障經(jīng)濟社會健康發(fā)展的第三條道路;行業(yè)協(xié)會是市民社會的基礎(chǔ)性力量；保障公民結(jié)社自由權(quán),允許公民自由組建社團,有利于政治民主化進程。 第二部分,我國私募股權(quán)基金行業(yè)自律機制存在的問題。首先,介紹這些年我國私募股權(quán)基金的發(fā)展狀況以及存在的問題,提出行業(yè)自律的必要性。其次,闡述由于私募股權(quán)基金行業(yè)協(xié)會發(fā)展滯后,導(dǎo)致行業(yè)自律機制無法有效發(fā)揮。通過對天津、北京、上海等地區(qū)相對成熟的私募股權(quán)基金行業(yè)協(xié)會進行分析,可以看出我國私募股權(quán)基金行業(yè)協(xié)會存在缺乏獨立性、不重視自律等缺陷。新近成立的中國股權(quán)投資基金行業(yè)協(xié)會由于自身組織機構(gòu)不健全等原因,尚不能有效發(fā)揮行業(yè)自律功能。 第三部分,市場經(jīng)濟發(fā)達國家(地區(qū))私募股權(quán)基金行業(yè)自律機制分析。首先,考察美國、歐洲等市場經(jīng)濟發(fā)達國家(地區(qū))私募股權(quán)基金行業(yè)自律機制背景,可以發(fā)現(xiàn)行業(yè)自律與國家歷史傳統(tǒng),私募股權(quán)基金發(fā)展階段相適應(yīng)的。其次,通過對美國創(chuàng)業(yè)投資協(xié)會(NVCA)、歐洲私募股權(quán)與創(chuàng)業(yè)投資協(xié)會(EVCA)、臺灣創(chuàng)業(yè)投資商業(yè)同業(yè)公會的考察,可以得知科學合理的組織架構(gòu)、先進的投資理念、完善的行業(yè)自律規(guī)則是行業(yè)自律機制有效發(fā)揮的保障。這些成熟的行業(yè)協(xié)會,為我國私募股權(quán)基金行業(yè)自律機制的建立和完善提供了范本和借鑒經(jīng)驗。 第四部分,我國私募股權(quán)基金行業(yè)自律機制的完善。首先,立法保障是私募股權(quán)基金行業(yè)自律機制有效發(fā)揮的基本前提。其次,構(gòu)建“行業(yè)自律為主,政府監(jiān)管為輔”的監(jiān)管框架,分清政府監(jiān)管和行業(yè)自律的界限,明確行業(yè)自律的責任范圍。再次,行業(yè)協(xié)會需要科學合理的組織架構(gòu),秉承先進的投資理念。最后,建立和完善行業(yè)自律具體規(guī)則。主要包括私募股權(quán)基金行業(yè)責任規(guī)則,基金管理人信用規(guī)則、爭議解決規(guī)則、懲罰和激勵規(guī)則,通過這些規(guī)則的相互聯(lián)系和作用,從而實現(xiàn)行業(yè)自律功能。
[Abstract]:Private - equity fund is booming in China in recent years , and the private - equity fund has been booming in China . Compared with the rapid development of private equity fund , private - equity fund has played an important role in promoting economic growth and economic transformation , but its high risk and wide impact cannot be ignored . Therefore , this paper tries to study the self - discipline of private equity fund industry in order to benefit the healthy development of private equity fund industry . The text of this paper is divided into four parts . Firstly , we define the self - discipline mechanism of private equity fund industry . Firstly , it defines the self - discipline of private equity fund industry . Secondly , it defines the self - discipline mechanism of private equity fund industry . In the second part , the problems existing in the self - discipline mechanism of private equity fund industry in China are introduced . First , the paper introduces the development status and existing problems of private equity fund industry in China , and puts forward the necessity of industry self - discipline . Secondly , it can be seen that the private equity fund industry association has a lack of independence and self - discipline . In the third part , the self - regulation mechanism of private equity fund industry in the developed countries of market economy ( region ) is analyzed . First , the background of self - discipline mechanism of private equity fund industry in market economy developed countries such as the United States and Europe can be found . It can be found that the self - discipline of the industry is compatible with the national historical tradition and private equity fund development stage . Secondly , through the investigation of the American Venture Capital Association ( NVCA ) , the European Private Equity and Venture Capital Association ( EVCA ) and the Taiwan Venture Capital Association , we can find out the scientific and reasonable organization structure , the advanced investment idea , the perfect industry self - discipline rules are the effective guarantee for the self - discipline mechanism of the industry . These mature trade associations provide the model and reference experience for the establishment and perfection of the self - discipline mechanism of private equity fund industry in our country . The fourth part , the perfection of the self - discipline mechanism of private equity fund industry in our country . First , the legislative guarantee is the basic premise of the self - discipline mechanism of private equity fund industry . Secondly , it establishes the supervision framework of " industry self - discipline , government regulation as assistant " , separates the limits of government regulation and industry self - discipline , and makes clear the scope of industry self - discipline . Finally , the industry association needs scientific and reasonable organization structure . Finally , it establishes and perfects the specific rules of industry self - discipline . Finally , it includes the rules of private equity fund industry , the credit rules of fund manager , the rules of dispute settlement , punishment and incentive rules , and the mutual relation and function of these rules , thus realizing the self - discipline function of industry .

【學位授予單位】：華中師范大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：D922.28;F832.51

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