本文選題：證券投資者保護(hù)基金　切入點(diǎn)：資金　出處：《北方工業(yè)大學(xué)》2015年碩士論文

【摘要】：評(píng)判一個(gè)國家的證券市場(chǎng)先進(jìn)與否,一個(gè)最重要的標(biāo)準(zhǔn)就是它的法律制度對(duì)證券投資者的保護(hù)是否完善。自改革開放以來,我國證券市場(chǎng)不斷發(fā)展并完善的同時(shí),也伴隨著一些問題的產(chǎn)生。證券投資者因?yàn)橥顿Y失敗而撤資、大量證券公司破產(chǎn)倒閉或被托管清算的現(xiàn)象不斷涌現(xiàn)�；谝陨显�,為了更好地保護(hù)中小投資者利益,我國建立了證券投資者保護(hù)基金制度。證券投資者保護(hù)基金制度的確立,在增強(qiáng)投資者對(duì)證券市場(chǎng)的信心,保護(hù)證券投資者利益方面做出了不小貢獻(xiàn),一定程度上保護(hù)了證券市場(chǎng)的穩(wěn)定發(fā)展,但是在實(shí)際操作的過程中還是有很多缺陷與問題。 本文針對(duì)證券投資者保護(hù)基金制度上的若干問題,結(jié)合一些先進(jìn)國家(地區(qū))的實(shí)踐操作經(jīng)驗(yàn)與我國的實(shí)際情況,從幾個(gè)方面著手提出相應(yīng)的建議進(jìn)行完善。本文主要采用文獻(xiàn)研究法,比較研究法,材料分析法,一共分五個(gè)章節(jié)： 第一章,論文先從基本概念開始,分析其主要特征。然后整理了我國證券投資者保護(hù)基金制度的逐漸完善的立法過程。最后介紹了我國保護(hù)基金公司目前的運(yùn)行現(xiàn)狀,為下文打下基礎(chǔ)。 第二章,以第一章為基礎(chǔ),進(jìn)而在我國制度運(yùn)行中發(fā)現(xiàn)其中的缺陷與不足。主要從資金籌集、內(nèi)部治理與外部監(jiān)管、賠償制度這三個(gè)方面提出存在的問題。 第三章至第五章,分別是從證券投資者保護(hù)基金的資金籌集、內(nèi)部治理與外部監(jiān)管、賠償制度這幾方面與發(fā)達(dá)國家與地區(qū)進(jìn)行比較及借鑒,并就這幾個(gè)方面出現(xiàn)的問題提出自己的完善建議。
[Abstract]:The most important criterion to judge whether a country's securities market is advanced or not is whether its legal system is perfect for the protection of securities investors.Since the reform and opening up, China's securities market has been developing and improving, but also with the emergence of some problems.Because of the failure of investment, a large number of securities companies go bankrupt or liquidation by trusteeship.For the above reasons, in order to better protect the interests of small and medium investors, China has established the securities investor protection fund system.The establishment of the protection fund system for securities investors has made no small contribution to enhancing investors' confidence in the securities market and protecting the interests of securities investors. To a certain extent, it has protected the stable development of the securities market.However, there are still many defects and problems in the process of practical operation.Aiming at some problems in the system of securities investor protection fund, combining the practical operation experience of some advanced countries (regions) and the actual situation of our country, this paper puts forward some corresponding suggestions from several aspects.This article mainly uses the literature research method, the comparison research method, the material analysis method, altogether divides into five chapters:In the first chapter, the paper starts with the basic concept and analyzes its main characteristics.Then collate our country securities investor protection fund system gradually perfect the legislative process.In the end, the paper introduces the current operation status of the protection fund company in China, which lays the foundation for the following.The second chapter, based on the first chapter, finds the defects and deficiencies in the system operation of our country.The main problems are raised from three aspects: fund raising, internal governance and external supervision, compensation system.The third to fifth chapters are compared with developed countries and regions in the aspects of fund raising, internal governance and external supervision, compensation system and so on.And put forward their own perfect suggestions on the problems in these aspects.
【學(xué)位授予單位】：北方工業(yè)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：D922.287

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