本文選題：私募股權(quán) + 市場(chǎng)　； 參考：《華僑大學(xué)》2012年碩士論文

【摘要】：私募股權(quán)投資（PE）的監(jiān)管至今仍是我國(guó)投資市場(chǎng)一個(gè)懸而未決的問題。 經(jīng)歷了2008年世界金融危機(jī)，2009年國(guó)內(nèi)創(chuàng)業(yè)板的推出帶來資本市場(chǎng)繁榮的同時(shí)，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(guó)PE行業(yè)內(nèi)熱議的話題之一。 本文擬通過對(duì)PE市場(chǎng)監(jiān)管的基礎(chǔ)問題的分析，即PE的特征本質(zhì)和發(fā)展現(xiàn)狀，介紹PE一般運(yùn)作流程，對(duì)我國(guó)PE的機(jī)構(gòu)、行業(yè)、政策情況和發(fā)展特色進(jìn)行小結(jié)，進(jìn)而提出對(duì)其進(jìn)行監(jiān)管必要性的思考。通過對(duì)PE市場(chǎng)監(jiān)管發(fā)達(dá)國(guó)家經(jīng)驗(yàn)、周邊國(guó)家現(xiàn)狀以及國(guó)內(nèi)其他金融行業(yè)監(jiān)管的經(jīng)驗(yàn)進(jìn)行比較分析，提出對(duì)我國(guó)PE行業(yè)監(jiān)管問題的見解。作者認(rèn)為，監(jiān)管本身并無絕對(duì)必要可言，但至少在現(xiàn)階段來說，管比不管好，關(guān)鍵在于如何管。借鑒“監(jiān)管+自律”模式來規(guī)范我國(guó)PE行業(yè)的發(fā)展應(yīng)是我國(guó)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(jié)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(shè)、副作用大（例如滋生權(quán)力尋租導(dǎo)致腐�。�，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(duì)我國(guó)PE監(jiān)管模式和內(nèi)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(diǎn)內(nèi)容等，希望能為我國(guó)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(xué)位授予單位】：華僑大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：F832.51

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本文編號(hào)：1946442