發(fā)布時(shí)間：2018-05-01 15:37

  本文選題：基金持有人 + 合法權(quán)益��； 參考：《江西財(cái)經(jīng)大學(xué)》2013年碩士論文

【摘要】：在金融市場(chǎng)比較完善的資本主義國(guó)家，證券投資基金因?yàn)槠渫顿Y管理的專業(yè)性往往成為人們首選的投資方式。在中國(guó)這一逐步發(fā)展的金融市場(chǎng)，證券投資基金成為金融投資的首選產(chǎn)品,這一趨勢(shì)是可以肯定的。但是，我們可以看到隨著投資基金地位的日益上升，相關(guān)法律制度對(duì)基金份額持有人合法權(quán)益的保護(hù)卻存在缺陷，基金管理人對(duì)利益的追逐以及基金份額持有人合法權(quán)益這一對(duì)矛盾關(guān)系，如果相關(guān)法律制度不能緩和它們之間的矛盾，則勢(shì)必影響證券投資基金在我國(guó)金融市場(chǎng)上的健康發(fā)展。 近年來(lái)，我國(guó)基金持有人權(quán)益保護(hù)出現(xiàn)了一些問(wèn)題，嚴(yán)重影響了證券投資基金的正常發(fā)展。專門為基金持有人維護(hù)權(quán)益設(shè)立的基金持有人大會(huì)制度，因?yàn)榉蓪?duì)召開人數(shù)規(guī)定過(guò)于嚴(yán)格，往往致使大會(huì)難以召開；大會(huì)召開時(shí)對(duì)于表決權(quán)的行使，代理權(quán)的行使以及提案權(quán)的行使規(guī)定的相當(dāng)模糊，使得這些權(quán)利最終難以實(shí)現(xiàn)。為了解決上述問(wèn)題，筆者認(rèn)為應(yīng)該分別從制度設(shè)計(jì)和立法完善兩方面出發(fā)，降低基金持有人大會(huì)召開需要的法定人數(shù)，設(shè)立表決回避制度，代理權(quán)設(shè)限制度以及設(shè)置提案權(quán)制度。 專門為證券投資者權(quán)益設(shè)立的證券投資者保護(hù)基金，，由于直接對(duì)其進(jìn)行規(guī)定的法律文件效力層級(jí)過(guò)低，以及對(duì)其監(jiān)管方面存在著監(jiān)管權(quán)混亂的現(xiàn)象，使得該基金的保護(hù)目的難以實(shí)現(xiàn)。為了保證該基金的設(shè)立目的得以實(shí)現(xiàn)，應(yīng)該從立法上提升《證券投資者保護(hù)基金管理辦法》的效力層級(jí)，建立單一監(jiān)管制度以彌補(bǔ)投資者保護(hù)基金監(jiān)管方面存在的缺陷。 經(jīng)過(guò)研究，基金管理人信息披露制度在透明性、及時(shí)性、全面性、規(guī)范性、積極性方面存在不足。筆者認(rèn)為可以從擴(kuò)大信息披露的范圍；縮小信息披露等待期限；放開對(duì)盈利性預(yù)測(cè)信息的管制這幾個(gè)方面完善信息披露制度，同時(shí)在立法上縮小基金管理人信息披露的等待期限；放寬對(duì)盈利性預(yù)測(cè)信息的限制。 關(guān)于基金托管人對(duì)基金管理人監(jiān)管方面的缺陷在于以下幾個(gè)方面：基金托管人的設(shè)立缺乏獨(dú)立性；監(jiān)督權(quán)力的性質(zhì)規(guī)定不明確；投資監(jiān)督標(biāo)準(zhǔn)不明確。為了彌補(bǔ)上述缺陷，筆者認(rèn)為可以從以下幾個(gè)方面對(duì)相關(guān)制度加以完善:通過(guò)建立不當(dāng)行為預(yù)警系統(tǒng)，賦予基金托管人對(duì)基金管理公司內(nèi)部人員的質(zhì)詢權(quán)，賦予基金托管人獨(dú)立訴權(quán)以增強(qiáng)監(jiān)管的效果。
[Abstract]:In capitalist countries with perfect financial markets, securities investment funds are often the preferred investment methods because of their professional investment management. In China's developing financial market, securities investment funds become the first choice of financial investment products, this trend is certain. However, we can see that with the increasing status of investment funds, the relevant legal systems have defects in protecting the legitimate rights and interests of fund share holders. The contradiction between fund managers' pursuit of interests and the legitimate rights and interests of fund share holders will inevitably affect the healthy development of securities investment funds in China's financial market if the relevant legal systems cannot alleviate the contradictions between them. In recent years, there are some problems in the protection of the rights and interests of fund holders in China, which seriously affect the normal development of securities investment funds. A system of meetings of fund holders established specifically for the protection of the rights and interests of fund holders, because the law is too strict on the number of persons to convene, which often makes it difficult to convene the conference; and the exercise of the right to vote at the time of the convening of the meeting, The exercise of agency rights and the exercise of proposal rights are rather vague, making these rights difficult to realize. In order to solve the above problems, the author thinks that the system design and legislative perfection should be carried out separately to reduce the quorum required for the convening of the general meeting of the fund holders, and to set up a voting withdrawal system. The system of setting up limitation of agency right and the system of setting up proposal right. The fund for the protection of the rights and interests of securities investors, due to the low level of validity of the legal documents directly stipulated on it, and the phenomenon of confusion in the supervision of the fund, This makes it difficult to achieve the protective purpose of the fund. In order to ensure the establishment of the fund, it is necessary to raise the level of effectiveness of the securities investor protection fund management method in legislation and establish a single supervision system to make up for the defects in the supervision of the investor protection fund. Through research, the fund manager information disclosure system in transparency, timeliness, comprehensiveness, standardization, enthusiasm deficiencies. The author thinks that we can improve the information disclosure system from the aspects of enlarging the scope of information disclosure, narrowing the waiting period of information disclosure, and liberalizing the regulation of profit-making forecast information. At the same time, legislation to reduce the waiting period for fund managers to disclose information; relax the profit forecast information restrictions. The defects in the supervision of fund managers lie in the following aspects: the establishment of fund custodians lacks independence, the nature of supervision power is not clear, and the standards of investment supervision are not clear. In order to make up for the above defects, the author thinks that the relevant system can be perfected from the following aspects: by establishing the early warning system of misconduct, the trustee of the fund can be given the right to inquire about the internal personnel of the fund management company. To grant the fund custodian the right of independent action to enhance the effectiveness of supervision.
【學(xué)位授予單位】：江西財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：D922.287

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