【作者】 佟胜奇；

【导师】 赵新华；

【作者基本信息】 吉林大学 ， 民商法学， 2009， 博士

【摘要】 证券投资基金作为金融政策深化和证券市场国际化发展的产物,作为专业化的理财方式和新型的投资工具,日益引起人们的普遍关注和广泛运用,而其存在的规则不足、基金管理人行为控制不力、基金持有人利益保护不力等现实问题更是引发学术界和实务界的法律思考,本文也正是这样一种初步的努力。本文首先对证券投资基金的概念、特征、类型、起源、功能等本体论问题进行了前提性阐述;其次从法哲学、法经济学等角度对证券投资基金法律制度的基本价值取向——基金持有人利益保护——进行了深层分析;再次对基金管理人的不当行为及其规制问题进行了类型描述和对策分析,并强调其对于基金持有人利益保护的重要性以及在证券投资基金制度中的重要地位;最后对证券投资基金法律关系模式的立法选择以及法律关系主体的权利义务等问题进行了系统阐述。本文试图通过本体、价值、行为规制、法律关系等视角全面阐述证券投资基金的基本概念、基本理念、基本制度,指出实践难题并提出解决之道,以期对加强我国证券投资基金制度建设、强化投资人利益保护和规范基金管理人行为,对我国证券投资基金行业的健康有序发展有所益助。更多还原

【Abstract】 This dissertation tries to explore the principal conception, the basic principle, the ideology and the basic system of the Securities Investment Funds, by doing which can we strengthen the construction of the legal system of Securities Investment Funds and the protection of investors.Chapter I is about those basic questions about the Securities Investment Funds, such as its concept, characteristics, origin and functions. Generally speaking, Securities Investment Funds is based upon the principle of dispersing risks. People hand their money to few experts to invest on stocks and securities to get interests. The characteristics of Securities Investment Funds are combined investment, handled by experts and risk disperses, etc. in the modern economy, Securities Investment Funds has its own advantages, such as check and balance, devoid of defraud.Chapter II discusses the value orientations of Securities Investment Funds, i.e., the protection of the interests of funds holders from the perspectives of jurisprudence and law and economics, so as to provide basic ideological foundation for the following research. As far as the jurisprudence’s concern, the protection of the interests of funds holders represents the legal justice. In the perspective of law and economics, there are some economics theories to explain why we need to protect the interests of funds holders. At the same time, the government should interfere in the process so as to decrease the risk.Chapter III focuses on the misconduct of the fund managers and the way to prevent it. Basing on the protection of the interests of funds holders, since the funds managers can breach their duties to handle the money properly, it is so important to make some prevention to gauge against it. Commonly speaking, funds managers tend to breach their bon faith duty and make some false statements. And there are some legislative suggestions here to fight against such kind of misconducts.Chapter IV compares two models of Securities Investment Funds managements; which means the contact model and the company model. After doing that, a proposal for our legislation reform is provided. Actually these two models are both existing now in our country, but on the other hand, there is very few legislation as to the latter model, which should be strengthen in the future, i.e., to improve the rights of funds holders and the duties of the funds managers.更多还原