【摘要】：證券投資者保護(hù)基金制度是投資者保護(hù)制度的重要組成部分,我國于2005年頒布的《證券投資者保護(hù)基金管理辦法》,2006年修訂的《證券法》明確了證券投資者保護(hù)基金制度的地位,這表明我國已經(jīng)正式建立了證券投資者保護(hù)基金制度。但是在制度的設(shè)計(jì)上仍存在很多問題,本文立足于當(dāng)前我國證券投資者保護(hù)基金法律制度的基本規(guī)定,通過探討我國證券投資者保護(hù)基金制度存在的問題,吸收和借鑒資本發(fā)達(dá)國家(地區(qū))證券投資者保護(hù)基金法律制度的成功經(jīng)驗(yàn),從主體制度,客體制度,賠償制度,監(jiān)管制度等方面對我國證券投資者保護(hù)基金法律制度的完善提出了建議。 本文正文分為五個(gè)部分。 第一部分對證券投資者保護(hù)基金制度進(jìn)行概括,具體從保護(hù)基金的概念,特征,定位,作用四個(gè)方面對該制度的基本理論進(jìn)行初步探討。 第二部分分析了我國證券投資者保護(hù)基金法律制度的現(xiàn)狀。該部分主要在立法背景和立法意義的基礎(chǔ)上,進(jìn)一步論述了我國證券投資者保護(hù)基金的法律規(guī)定和具體內(nèi)容。 第三部分分析了我國證券投資者保護(hù)基金法律制度存在的問題,主要對主體制度,客體制度,賠償制度,監(jiān)管制度四個(gè)方面中存在的問題進(jìn)行論述。具體為：在主體制度中,從投資者保護(hù)基金公司和投資者這兩大主體的角度出發(fā)進(jìn)行分析問題；在客體制度中,主要從基金來源、基金形式及基金職能三方面進(jìn)行問題分析；在賠償制度中,主要論述了賠償范圍和賠償程序中存在的問題。在監(jiān)管制度中,主要存在各監(jiān)管部門協(xié)調(diào)不合理,投資者保護(hù)基金公司與相關(guān)主體協(xié)調(diào)機(jī)制欠缺等問題。 第四部分是對資本市場發(fā)達(dá)國家(地區(qū))證券投資者保護(hù)基金法律制度規(guī)定的介紹,主要從主體制度、客體制度、賠償制度、監(jiān)管制度四個(gè)方面論述了各國(地區(qū))證券投資者保護(hù)基金的法律規(guī)定。 第五部分是在借鑒各國(地區(qū))證券投資者保護(hù)基金法律制度成功經(jīng)驗(yàn)的基礎(chǔ)上,結(jié)合我國資本市場的實(shí)際情況,根據(jù)我國投資者保護(hù)基金存在的問題,也是從主體制度、客體制度、賠償制度、監(jiān)管制度四個(gè)方面提出完善我國證券投資者保護(hù)基金法律制度的相關(guān)建議。
[Abstract]:The securities investor protection fund system is an important part of the investor protection system. The securities investor protection fund management system promulgated in 2005 and the Securities Law amended in 2006 clearly defines the position of the securities investor protection fund system. This shows that our country has formally established the securities investor protection fund system. However, there are still many problems in the design of the system. This paper, based on the basic provisions of the current legal system of securities investor protection fund in China, discusses the problems existing in the system of securities investor protection fund in our country. To absorb and draw lessons from the successful experience of the legal system of the securities investor protection fund in the developed countries (regions), from the subject system, the object system, the compensation system, Some suggestions are put forward on how to perfect the legal system of securities investor protection fund in China. The text of this paper is divided into five parts. The first part generalizes the protection fund system of the securities investors, and discusses the basic theory of the protection fund from four aspects: the concept, the characteristics, the orientation and the function of the protection fund. The second part analyzes the current situation of China's securities investor protection fund legal system. On the basis of legislative background and legislative significance, this part further discusses the legal provisions and specific contents of securities investor protection funds in China. The third part analyzes the problems existing in the legal system of China's securities investors' protection fund, mainly discusses the main body system, the object system, the compensation system and the supervision system. The main contents are as follows: in the subject system, the problems are analyzed from the angle of investor protection fund company and investor, in the object system, the fund source, the fund form and the fund function are analyzed in three aspects: the source of the fund, the form of the fund and the function of the fund. In the compensation system, mainly discussed the compensation scope and the compensation procedure existence question. In the supervision system, there are some problems, such as unreasonable coordination between various regulatory authorities and lack of coordination mechanism between investor protection fund companies and related subjects. The fourth part is the introduction of the legal system of the securities investor protection fund in the developed countries (regions) of the capital market, mainly from the subject system, the object system, the compensation system, Four aspects of the regulatory system discussed the national (regional) securities investor protection fund legal provisions. The fifth part is based on the successful experience of the legal system of the securities investor protection fund in various countries (regions), combined with the actual situation of the capital market of our country, according to the problems existing in the investor protection fund of our country, it is also from the subject system. Four aspects of object system, compensation system and supervision system are put forward to perfect the legal system of securities investor protection fund in China.
【學(xué)位授予單位】：中央民族大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D922.287;F832.51

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本文編號：2177290