【摘要】：2006年后,國家及監(jiān)管部門為了規(guī)范集合資金信托業(yè)務(wù)的發(fā)展,相繼出臺了一些規(guī)章制度,如2007年,《信托公司管理辦法》、《信托公司集合資金信托計劃管理辦法》《關(guān)于進(jìn)一步規(guī)范集合資金信托業(yè)務(wù)有關(guān)問題的通知》和《關(guān)于信托投資公司集合資金信托業(yè)務(wù)信息披露有關(guān)問題的通知》的相繼出臺實施,極大地規(guī)范了我國集合資金信托業(yè)務(wù)。雖然國家在集合資金信托法律制度上在不斷的完善,但是在實踐中還是存在諸多問題,如近期爆發(fā)的一些集合信托事件,如中信信托山峽信托計劃延期兌付、中融信托青島凱悅無人接盤、華夏銀行客戶經(jīng)理違規(guī)銷售信托理財產(chǎn)品等。從這些事件中可以看出,我國集合資金信托業(yè)務(wù)監(jiān)管制度并不完美,尚待進(jìn)一步進(jìn)行研究并加以完善。 基于此,本文分為包括導(dǎo)論的六個部分以上述問題予以討論： 第一部分首先對集合資金信托監(jiān)管相關(guān)問題進(jìn)行文獻(xiàn)綜述,梳理完整目前集合資金信托監(jiān)管法律制度的研究現(xiàn)狀,存在的問題,并尋找問題的切入點。 第二部分將介紹集合資金信托的緣起及其監(jiān)管制度演進(jìn),在此將梳理集合資金信托的發(fā)展歷史以及集合資金信托的監(jiān)管制度變遷； 第三部分將以集合資金信托監(jiān)管的法律回應(yīng)為切入點,首先論證了集合資金信托監(jiān)管符合經(jīng)濟(jì)法的價值追求；其次對我國集合資金信托監(jiān)管的法律規(guī)范現(xiàn)狀進(jìn)行梳理。 第四部分將著重介紹域外一些先進(jìn)國家及地方的集合資金信托監(jiān)管制度,以作為本文的借鑒,主要有域外(美、英、日及我國臺灣地區(qū))集合資金信托監(jiān)管法律制度現(xiàn)狀、發(fā)展趨勢及其對我國的啟示； 第五部分首先主要分析了我國目前現(xiàn)行有效的集合資金信托監(jiān)管的法律規(guī)范不足之處及原因所在；在發(fā)現(xiàn)國內(nèi)集合資金信托監(jiān)管法律制度現(xiàn)存的問題的基礎(chǔ)上,借鑒域外先進(jìn)的技術(shù)及管理經(jīng)驗,提出完善我國集合資金信托監(jiān)管法律制度的建議及意見。在建議完善的法律制度中可能包含：受托人義務(wù)制度、集合資金信托業(yè)務(wù)規(guī)范監(jiān)管制度、信息披露制度完善、關(guān)聯(lián)交易監(jiān)管制度完善及其他相關(guān)制度等。
[Abstract]:Since 2006, in order to regulate the development of trust business with pooled funds, the state and regulatory authorities have issued a number of rules and regulations, such as the regulations on the Management of Trust companies in 2007. "measures for the Administration of Trust plans of Trust companies with pooled funds" notice on further regulating matters relating to Trust Business of pooled funds and notice on Disclosure of Information on Trust Operations of pooled funds of Trust Investment companies The introduction and implementation of the It has greatly standardized the trust business of pooled funds in our country. Although the state is constantly improving the legal system of pooled funds trust, there are still many problems in practice, such as some recent incidents of pooled trust, such as the extension of payment of CITIC Trust Gorge Trust Plan. China Finance Trust Qingdao Hyatt no one to pick up, Huaxia Bank account manager illegal sales trust wealth management products and so on. It can be seen from these events that the supervision system of pooled funds trust business in China is not perfect and needs to be further studied and perfected. Based on this, this paper is divided into six parts including introduction to the above-mentioned issues to be discussed: the first part of the pooled funds trust supervision related issues of literature review, Combing the current legal system of pooled funds trust regulatory research status quo, existing problems, and looking for the entry point of the problem. The second part will introduce the origin and the evolution of the supervision system of the pooled fund trust, which will sort out the history of the development of the pooled fund trust and the change of the supervision system of the pooled fund trust. The third part will start with the legal response of the supervision of pooled funds trust, firstly, it demonstrates that the supervision of collective funds trust conforms to the value pursuit of economic law; secondly, it combs the current situation of the legal norms of the supervision of pooled funds trust in our country. The fourth part will focus on introducing the supervision system of pooled funds trust in some advanced countries and localities outside of China, as a reference for this article, mainly including the current legal system of supervision and supervision of foreign pooled funds trust (in the United States, Britain, Japan and Taiwan in China). The trend of development and its enlightenment to our country; The fifth part mainly analyzes the shortcomings and reasons of the current effective supervision of pooled funds trust in our country. On the basis of discovering the existing problems in the domestic legal system of the supervision of pooled funds trust, this paper draws lessons from the advanced technology and management experience outside the world, and puts forward some suggestions and suggestions on perfecting the legal system of the supervision of the trust of pooled funds in China. The proposed perfect legal system may include the trustee obligation system, the supervision system of pooled funds trust business, the perfect information disclosure system, the related transaction supervision system and other related systems, and so on.
【學(xué)位授予單位】：西南財經(jīng)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.282

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