【摘要】：本文以合格投資者制度的發(fā)展為主軸，從合格投資者制度的相關(guān)概念著手，考察了合格投資者制度研究的必要性。梳理了美英兩國的合格投資者制度，以其發(fā)展歷程為脈絡(luò)進(jìn)行比較分析，歸納總結(jié)出合格投資者的判斷標(biāo)準(zhǔn)。對中國合格投資者制度發(fā)展至今的相關(guān)法律規(guī)范進(jìn)行整理，結(jié)合美英兩國資本市場的管理經(jīng)驗(yàn)，有針對性的對我國合格投資者制度提出了完善建議。 全文共分三大部分。分別探討了私募基金合格投資者制度的基本概念，美、英兩國合格投資者制度的發(fā)展歷程及制度構(gòu)建，我國私募基金合格投資者制度的不足及完善建議。 第一部分從私募、基金、合格投資者、合格投資者制度這幾個基本概念著手，明確了研究對象，構(gòu)建了下文討論的基礎(chǔ)。接著探討私募基金合格投資者制度的必要性，即在保護(hù)投資者權(quán)益和促進(jìn)資本市場健康發(fā)展中，私募基金合格投資者制度都能起到不可或缺的重要作用。 第二部分選取了美國和英國的合格投資者制度為樣本進(jìn)行分析研究。以其發(fā)展的歷史進(jìn)程為線索，分別分析了美國、英國合格投資者制度。從中歸納出合格投資者的判斷標(biāo)準(zhǔn)，指出美英兩國制度構(gòu)建中曾經(jīng)存在的問題，并深入發(fā)掘其制度現(xiàn)狀之所以如此構(gòu)建的歷史動因。 第三部分將理論研究與我國的具體實(shí)踐相結(jié)合，詳細(xì)考察我國合格投資者制度的立法現(xiàn)狀，，梳理了我國私募基金合格投資者制度的相關(guān)規(guī)定。在指出我國私募基金合格投資者制度發(fā)展的薄弱環(huán)節(jié)，通過吸取他國的經(jīng)驗(yàn)教訓(xùn)，有針對性的給出相應(yīng)的完善建議。
[Abstract]:Based on the development of the QFI system, this paper investigates the necessity of the QFI system research from the relevant concepts of the QFI system. This paper combs the QFI system of the United States and Britain, compares and analyzes its development course, and sums up the judging standard of QFII. This paper collates the relevant legal norms of the development of China's QFI system up to now, and combines the management experience of the capital markets of the United States and the United Kingdom, and puts forward some suggestions for the perfection of the QFI system in China. The paper is divided into three parts. This paper discusses the basic concepts of the qualified investors system of private equity funds, the development and construction of the qualified investors system in the United States and Britain, and the deficiencies and suggestions of the qualified investors system in our country. The first part starts with the basic concepts of private placement, fund and QFI system, defines the object of study and constructs the basis of the following discussion. Then it discusses the necessity of the qualified investors system of private equity funds, that is, in protecting investors' rights and interests and promoting the healthy development of capital market, the qualified investors system of private equity funds can play an indispensable and important role. In the second part, the QFI system in the United States and Britain is selected as the sample to analyze and study. Based on the historical process of its development, this paper analyzes the QFII system in the United States and Britain respectively. This paper sums up the judging criteria of QFII, points out the problems existing in the institutional construction of the United States and Britain, and further explores the historical reasons for the present situation of QFII to be constructed in such a way. The third part combines the theoretical research with the specific practice of our country, examines the legislation status of the QFI system in China in detail, and combs the relevant provisions of the QFI system of private equity funds in our country. This paper points out the weak link of the development of qualified investors system of private equity fund in our country, and through drawing the experience and lessons of other countries, gives the corresponding perfect suggestions.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.287

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