本文關(guān)鍵詞：香港投資基金規(guī)范框架對內(nèi)地證券投資基金監(jiān)管的啟示　出處：《上海交通大學(xué)》2014年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 證券投資基金 香港 內(nèi)地 監(jiān)管

【摘要】：投資基金是一種集合投資制度，一般指通過發(fā)售份額募集基金，由基金托管人托管，由基金管理人管理和運(yùn)用基金，為基金份額持有人的利益，，通過資產(chǎn)組合進(jìn)行的證券投資方式。在過去的二十年里，投資基金在市場經(jīng)濟(jì)國家迅速發(fā)展，因?yàn)槠渥陨硭邆涞娘L(fēng)險(xiǎn)分散型的特點(diǎn)，迅速成為大眾投資工具，成為金融業(yè)最重要的組成之一。20世紀(jì)80年代中國引入證券投資基金制度并獲得快速發(fā)展，成為中國金融市場重要的組成部分。為拓寬中小投資者投資渠道、優(yōu)化金融結(jié)構(gòu)、促進(jìn)證券市場的穩(wěn)定與健康發(fā)展、完善金融與社會保障體系起到了重要積極作用。從1998年第一家基金管理公司成立至今，基金行業(yè)資產(chǎn)規(guī)模以差不多年均50%的速度增長。截至2012年末，全部基金的資產(chǎn)凈值合28，661.00億元，份額合計(jì)31，708.95億份，和2011年12月31日凈值規(guī)模21，918.55億元和份額規(guī)模26，510.37相比，資產(chǎn)凈值增加6742.45億元，份額規(guī)模增加5198.58億份。 近年來，我國的證券投資基金業(yè)快速發(fā)展，成為投資者選擇的重要投資產(chǎn)品。在迅速發(fā)展的同時(shí)，一些違法違規(guī)的問題也接踵而至，影響基金行業(yè)健康穩(wěn)定的發(fā)展。這是由于證券投資基金在我國發(fā)展的時(shí)間不長，實(shí)踐積累不夠豐富，配套的法律法規(guī)還不甚健全和完善。借鑒基金業(yè)發(fā)達(dá)的國家和地區(qū)的發(fā)展經(jīng)驗(yàn)，對我國基金行業(yè)的穩(wěn)定和發(fā)展有著重要意義。香港是亞洲最重要的基金管理中心，其特點(diǎn)是規(guī)模大，國際化程度高，相關(guān)法律法規(guī)和規(guī)管框架比較完善。通過研究兩地的證券投資基金監(jiān)管框架和相關(guān)法律制度，對我國基金業(yè)的發(fā)展具有重要意義。 本文詳細(xì)對比了香港和內(nèi)地證券投資基金各項(xiàng)制度，從定義，基金的種類，到運(yùn)作方式，信息披露制度到監(jiān)管制度，其中著重對比了兩地證券投資基金的法律監(jiān)管制度，分析了不同的監(jiān)管方式的基金業(yè)的發(fā)展有著何種不同的推動作用，最后提出了香港證券投資基金相關(guān)法律制度對內(nèi)地基金業(yè)發(fā)展的借鑒意義。
[Abstract]:Investment fund is a collective investment system, generally refers to raise funds through the sale of shares, the fund custodian, the fund management and use of fund, for the benefits of the fund share holders of securities investment through the portfolio. In the past twenty years, the rapid development of investment funds in the market economy, because the characteristics of risk has its own decentralized, quickly become a popular investment tool, has become one of the most important financial industry.20 century 80s Chinese introduced the securities investment fund system and has a rapid development, has become an important part of the financial market. Chinese to broaden the investment channels for small and medium investors, optimize financial structure, promote stable and healthy the development of the securities market, improve the financial and social security system has played an important positive role. Since its establishment in 1998 first fund management company, The fund industry asset size increased by almost an annual rate of 50%. By the end of 2012, the net assets of all funds 2 trillion and 866 billion 100 million yuan, the total share of 3 trillion and 170 billion 895 million copies, and in December 31, 2011 the size of the net value of 2 trillion and 191 billion 855 million yuan and the size of the share of 26510.37 compared to net assets increased by 674 billion 245 million yuan, the size of the share increase of 519 billion 858 million copies.
In recent years, the rapid development of China's securities investment fund industry, has become an important investment products for investors to choose. In the rapid development, the number of illegal problems ensued, affecting the development of the fund industry healthy and stable. This is because of the securities investment fund in China's development time is not long, experience is not rich enough, the supporting laws and regulations are not very perfect. Learn from the development experience of the fund industry in developed countries and regions, has the vital significance to the stability and development of the fund industry in our country. Hongkong is the most important of the Asian fund management center, which is characterized by large scale, high degree of internationalization, relevant laws and regulations and regulatory framework more perfect. Through the study of the two securities investment fund regulatory framework and the relevant legal system, has an important significance for the development of China's fund industry.
In this paper, the mainland and Hongkong securities investment fund system, compared with funds from the definition, types, operation mode, the information disclosure system to the supervision system, which focuses on the comparison of the legal supervision system of securities investment fund, analyzes the role which promote the development of different different modes of supervision of the fund industry, finally the development of Hongkong securities investment funds related to the legal system of the mainland fund industry reference.

【學(xué)位授予單位】：上海交通大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：D922.287;F832.51

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