本文選題：私募股權 + 市場��； 參考：《華僑大學》2012年碩士論文

【摘要】：私募股權投資（PE）的監(jiān)管至今仍是我國投資市場一個懸而未決的問題。 經歷了2008年世界金融危機，2009年國內創(chuàng)業(yè)板的推出帶來資本市場繁榮的同時，也使眾多PE逐漸為人所知，其監(jiān)管問題也隨之重新成為我國PE行業(yè)內熱議的話題之一。 本文擬通過對PE市場監(jiān)管的基礎問題的分析，即PE的特征本質和發(fā)展現(xiàn)狀，介紹PE一般運作流程，對我國PE的機構、行業(yè)、政策情況和發(fā)展特色進行小結，進而提出對其進行監(jiān)管必要性的思考。通過對PE市場監(jiān)管發(fā)達國家經驗、周邊國家現(xiàn)狀以及國內其他金融行業(yè)監(jiān)管的經驗進行比較分析，提出對我國PE行業(yè)監(jiān)管問題的見解。作者認為，監(jiān)管本身并無絕對必要可言，但至少在現(xiàn)階段來說，管比不管好，關鍵在于如何管。借鑒“監(jiān)管+自律”模式來規(guī)范我國PE行業(yè)的發(fā)展應是我國PE監(jiān)管較為理想的選擇，但是監(jiān)管與自律并存的必然結果便是監(jiān)管必須適度，過猶不及，，否則過松的監(jiān)管形同虛設、副作用大（例如滋生權力尋租導致腐敗），而過度的監(jiān)管又易使行業(yè)失去活力、停滯不前。 本文還提出了對我國PE監(jiān)管模式和內容的具體建議：完善PE法律政策體系，明確行政監(jiān)管的主體和客體，明確監(jiān)管重點內容等，希望能為我國PE監(jiān)管政策的制定提供一些可行的參考。
[Abstract]:Private equity investment (PEI) regulation is still an outstanding issue in China's investment market. After the 2008 world financial crisis, the launch of domestic gem in 2009 brought prosperity to the capital market, at the same time, many PE gradually became known, and its regulatory issues also became one of the hot topics in PE industry of our country. This paper analyzes the basic problems of PE market supervision, that is, the characteristic essence and development status of PE, introduces the general operation process of PE, summarizes the organization, industry, policy and development characteristics of PE in China. And then put forward the necessity of supervision. Based on the experience of the developed countries in PE market supervision, the current situation of the neighboring countries and the experiences of other domestic financial industries, this paper puts forward some opinions on the supervision of PE industry in China. The authors argue that regulation itself is not absolutely necessary, but at least for the time being, the key is how to manage rather than not. It should be an ideal choice to regulate the development of PE industry in our country by using the model of "supervision and self-discipline" for reference, but the inevitable result of the coexistence of supervision and self-discipline is that supervision must be moderate, too much, otherwise the loose supervision will be empty. Side effects, such as power rent-seeking, corrupts, and excessive regulation tends to deactivate and stagnate the industry. This paper also puts forward some specific suggestions on PE supervision mode and content in China: perfecting PE legal policy system, clarifying the subject and object of administrative supervision, defining the key contents of supervision, etc. Hope to provide some feasible reference for the formulation of PE regulatory policy in China.
【學位授予單位】：華僑大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：F832.51

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本文編號：1946442