【摘要】：自2007年基金行業(yè)爆發(fā)式增長(zhǎng)后，由于產(chǎn)品的大量發(fā)行、基金規(guī)模的迅速擴(kuò)容，新基金公司的大量涌現(xiàn)，一些隱藏著的問題逐漸顯現(xiàn)。2008年至今，基金總體規(guī)模無增長(zhǎng)，重首發(fā)、輕持續(xù)營(yíng)銷，核心人員流動(dòng)頻繁，基民虧損嚴(yán)重等情況嚴(yán)重影響證券投資基金的聲譽(yù)，損害了基金投資者利益，妨礙了基金業(yè)的發(fā)展。這些問題反映出加強(qiáng)基金行業(yè)治理的緊迫性和必要性。在此背景下，筆者對(duì)我國(guó)證券基金行業(yè)的治理進(jìn)行了研究，有著重要現(xiàn)實(shí)意義和理論價(jià)值。 本文旨在揭示當(dāng)前證券投資基金行業(yè)面臨的瓶頸和基金管理公司在發(fā)展中遇到的問題，分析其原因，試圖通過“持基計(jì)劃”、“持股計(jì)劃”、改變收費(fèi)機(jī)制、考核激勵(lì)機(jī)制等方式使基金治理和公司治理目標(biāo)達(dá)成一致，更有效地保護(hù)基金份額持有人的利益，解決基金管理公司治理上的根本問題。論文第一章主要梳理了我國(guó)證券基金行業(yè)治理的范疇以及發(fā)展歷程，指出完善基金公司治理的意義以及完善基金治理結(jié)構(gòu)的思路探索。第二章從我國(guó)證券基金行業(yè)公司治理結(jié)構(gòu)、特點(diǎn)分析、近年來基金行業(yè)各項(xiàng)調(diào)研數(shù)據(jù)和現(xiàn)階段基金行業(yè)公司治理中存在的問題等方面揭示了目前我國(guó)證券基金行業(yè)公司治理的現(xiàn)狀。第三章提出通過推行“持基計(jì)劃”和改善公募基金的收費(fèi)機(jī)制等措施和方案，，加強(qiáng)和完善基金治理。第四章闡述了從堅(jiān)持持有人利益為先、堅(jiān)持合法合規(guī)的運(yùn)作模式和注重投資者教育三方面入手，推動(dòng)基金治理，促進(jìn)公司治理與基金治理的目標(biāo)趨同。第五章從關(guān)注各方利益角度，提出通過人合治理的路徑，善用考核激勵(lì)機(jī)制等方式，進(jìn)一步提升基金行業(yè)治理。第六章闡述了論文的主要?jiǎng)?chuàng)新及實(shí)踐意義。 本文主要采取理論研究、比較研究和實(shí)證研究相結(jié)合的方法，從現(xiàn)象到本質(zhì)，層層剖析產(chǎn)生問題的深層原因。希望通過對(duì)基金行業(yè)問題的研究，探索出適合我國(guó)資本市場(chǎng)和基金業(yè)的管理模式，不斷完善各項(xiàng)機(jī)制、體制，切實(shí)保護(hù)基金投資者的利益，增強(qiáng)公眾對(duì)基金業(yè)的公信力，防止基金業(yè)出現(xiàn)系統(tǒng)性問題，以期為我國(guó)基金治理和基金公司治理的進(jìn)一步規(guī)范提供參考，使中國(guó)基金業(yè)規(guī)范發(fā)展的瓶頸問題得到根本解決，進(jìn)而促進(jìn)我國(guó)資本市場(chǎng)的有序運(yùn)作和社會(huì)經(jīng)濟(jì)的健康發(fā)展。
[Abstract]:After the explosive growth of the fund industry in 2007, due to the large number of products issued, the rapid expansion of the fund scale, the emergence of a large number of new fund companies, and the emergence of some hidden problems, some hidden problems have gradually appeared. Since 2008, the overall size of the fund has not increased, and the fund has started again. Light and continuous marketing, frequent flow of core staff, serious losses of the people and so on seriously affect the reputation of securities investment funds, damage the interests of fund investors, and hinder the development of the fund industry. These problems reflect the urgency and necessity of strengthening the governance of the fund industry. Under this background, the author has carried on the research to our country securities fund profession governance, has the important realistic significance and the theory value. The purpose of this paper is to reveal the bottleneck faced by the securities investment fund industry and the problems encountered in the development of the fund management companies, to analyze the reasons, and to try to change the charging mechanism through the "base-holding plan" and "shareholding plan". The examination and incentive mechanism make the fund governance and the corporate governance goal to reach an agreement, more effectively protect the interests of fund share holders, and solve the fundamental problems in fund management corporate governance. The first chapter mainly combs the category and the development course of the securities fund industry governance in our country, and points out the significance of perfecting the fund company governance and the exploration of the thought of perfecting the fund governance structure. The second chapter analyzes the governance structure and characteristics of the securities fund industry in China. In recent years, the research data of fund industry and the problems existing in the corporate governance of fund industry at present reveal the present situation of corporate governance of securities fund industry in China. The third chapter puts forward some measures and schemes to strengthen and perfect the governance of the fund through the implementation of the foundation holding plan and the improvement of the charging mechanism of the public offering fund. The fourth chapter expounds three aspects: insisting on the interests of the holder, adhering to the operating mode of legality and compliance and paying attention to the education of investors to promote fund governance and promote the convergence of the objectives of corporate governance and fund governance. In the fifth chapter, from the angle of paying attention to the interests of all parties, the author puts forward the ways to improve the governance of the fund industry through the path of joint governance and the proper use of the examination and incentive mechanism. The sixth chapter expounds the main innovation and practical significance of the thesis. This paper mainly adopts the methods of theoretical research, comparative study and empirical research, from phenomenon to essence, to analyze the underlying causes of the problem layer by layer. Through the research of fund industry, we hope to find out the management mode suitable for our country's capital market and fund industry, to improve every mechanism and system, to protect the interests of fund investors, and to enhance the public's credibility to the fund industry. In order to provide reference for the further regulation of fund governance and fund company governance in China, and to solve the bottleneck problem in the development of fund industry in China, the system problems of fund industry should be prevented. Then promote the orderly operation of China's capital market and the healthy development of social economy.
【學(xué)位授予單位】：上海交通大學(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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