本文關鍵詞： 證券投資基金 治理制度　出處：《遼寧大學》2013年博士論文　論文類型：學位論文

【摘要】：伴隨著社會主義市場經濟的迅速發(fā)展，中國證券投資基金業(yè)也得到了發(fā)展和壯大。但在發(fā)展中所暴露出來的弊端，，也逐漸引起人們的關注和思索。在考察、借鑒國外基金業(yè)發(fā)達國家成熟經驗的基礎上，國家在立法層面、制度引入、監(jiān)管等多方面均采取了一系列的措施來完善基金治理制度。但是，從實際效果來看，仍然存在很多問題。所以，加強我國基金治理的系統(tǒng)研究，對于建立科學、合理的基金治理制度具有重要的理論和現(xiàn)實意義。 本文從基金治理的經濟學理論出發(fā)，在對國外發(fā)達國家證券投資基金發(fā)展、制度變遷過程，基金組織模式進行分析的基礎上，對我國投資基金發(fā)展和治理制度進行了深入剖析，提出建立以投資者權益保護為核心的基金治理制度體系。從整體上系統(tǒng)做好相關機制安排。有效的證券投資基金治理制度體系是在一定的基金組織模式下，包括制衡激勵制度、監(jiān)督約束制度和救濟賠償制度在內的統(tǒng)一整體。 論文的結構及主要內容為： 第一章緒論。第二章論述與證券投資基金密切相關的經濟理論。第三章通過考察國外發(fā)達國家證券投資基金治理發(fā)展、制度變遷過程，揭示治理制度變遷的一般規(guī)律。提出以基金投資者權益保護為核心，構建基金治理制度體系。第四章通過對制衡激勵制度中持有人大會制度、托管人制度、獨立董事制度和激勵制度的理論分析，提出了具體問題和建議。第五章通過對監(jiān)督約束制度中的市場準入制度、信息披露制度、監(jiān)管制度、評價機制的理論分析，對完善相關機制提出了一系列觀點。第六章通過對救濟賠償制度的研究，提出創(chuàng)設行政援助機制、賠償保障機制并改進損害賠償機制的建議。
[Abstract]:With the rapid development of socialist market economy, China's securities investment fund industry has also been developed and strengthened. On the basis of the mature experience of developed countries in foreign fund industry, the country has taken a series of measures to perfect the fund governance system at the legislative level, system introduction, supervision and so on. However, from the practical effect. Therefore, it is of great theoretical and practical significance to strengthen the systematic research on fund governance in China for the establishment of a scientific and reasonable fund governance system. Starting from the economic theory of fund governance, this paper analyzes the development, institutional change process and fund organization model of securities investment funds in foreign developed countries. The development and governance system of investment funds in China are deeply analyzed. Put forward to establish the fund governance system with investor rights protection as the core, make the related mechanism arrangement from the whole system. The effective securities investment fund governance system is under the certain fund organization pattern. Including checks and balances incentive system, supervision and restraint system and relief compensation system, including the unity of the whole. The structure and main contents of the thesis are as follows: The first chapter is introduction. The second chapter discusses the economic theory which is closely related to the securities investment fund. The third chapter examines the development of securities investment fund governance and institutional changes in foreign developed countries. To reveal the general law of governance system change. Put forward to the fund investors' rights and interests protection as the core, build the fund governance system system. 4th chapter through the checks and balances incentive system of the general meeting system, custodian system. The theoretical analysis of the independent director system and incentive system, put forward specific problems and suggestions. 5th chapter through the supervision and restraint system of the market access system, information disclosure system, regulatory system. The theoretical analysis of the evaluation mechanism put forward a series of views to improve the relevant mechanism. Chapter 6th proposed the creation of administrative assistance mechanism through the research of relief compensation system. Compensation safeguards and recommendations to improve damage compensation mechanisms.
【學位授予單位】：遼寧大學
【學位級別】：博士
【學位授予年份】：2013
【分類號】：F832.51

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