试论我国证券投资者保护基金法律制度的完善

【作者】 李文娟；

【导师】 李荣；

【作者基本信息】 中央民族大学 ， 经济法学， 2012， 硕士

【摘要】 证券投资者保护基金制度是投资者保护制度的重要组成部分,我国于2005年颁布的《证券投资者保护基金管理办法》,2006年修订的《证券法》明确了证券投资者保护基金制度的地位,这表明我国已经正式建立了证券投资者保护基金制度。但是在制度的设计上仍存在很多问题,本文立足于当前我国证券投资者保护基金法律制度的基本规定,通过探讨我国证券投资者保护基金制度存在的问题,吸收和借鉴资本发达国家(地区)证券投资者保护基金法律制度的成功经验,从主体制度,客体制度,赔偿制度,监管制度等方面对我国证券投资者保护基金法律制度的完善提出了建议。本文正文分为五个部分。第一部分对证券投资者保护基金制度进行概括,具体从保护基金的概念,特征,定位,作用四个方面对该制度的基本理论进行初步探讨。第二部分分析了我国证券投资者保护基金法律制度的现状。该部分主要在立法背景和立法意义的基础上,进一步论述了我国证券投资者保护基金的法律规定和具体内容。第三部分分析了我国证券投资者保护基金法律制度存在的问题,主要对主体制度,客体制度,赔偿制度,监管制度四个方面中存在的问题进行论述。具体为：在主体制度中,从投资者保护基金公司和投资者这两大主体的角度出发进行分析问题；在客体制度中,主要从基金来源、基金形式及基金职能三方面进行问题分析；在赔偿制度中,主要论述了赔偿范围和赔偿程序中存在的问题。在监管制度中,主要存在各监管部门协调不合理,投资者保护基金公司与相关主体协调机制欠缺等问题。第四部分是对资本市场发达国家(地区)证券投资者保护基金法律制度规定的介绍,主要从主体制度、客体制度、赔偿制度、监管制度四个方面论述了各国(地区)证券投资者保护基金的法律规定。第五部分是在借鉴各国(地区)证券投资者保护基金法律制度成功经验的基础上,结合我国资本市场的实际情况,根据我国投资者保护基金存在的问题,也是从主体制度、客体制度、赔偿制度、监管制度四个方面提出完善我国证券投资者保护基金法律制度的相关建议。更多还原

【Abstract】 Securities investor protection fund system is an important part of the securities investor protection system. In2005China promulgated" Administrative Measures for Securities Investor Protection Fund ", In2006the newly revised" Securities Law",which makes clear the status of securities investor protection fund system. This indicates that China has formally established the securities investor protection fund system. But the designs of the system still exists many problems. This paper bases on the basic provisions of the Chinese securities investor protection fund legal system, by probing into the problems on the Chinese securities investor protection fund system, absorbing and taking examples by the successful experience of the securities investor protection fund legal system from the developed country (region), The paper put forward the perfect proposal to China securities investor protection fund legal system from the subject system, object system, compensation system, supervisory system and so on.This text of paper is divided into five parts.The first part make a overview of the securities investor protection fund system.The basic theory of the system are discussed initially from the four aspects of concept, features, position, role of protection fund. The second part analyzes the status quo of the China securities investor protection fund legal system. The part mainly base on the legislative background and legislative significance, making further discusses of the legal system and specific content of the China securities investor protection fund.The third part make analyze the problems of China’s legal system of securities investor protection fund.The problems are discussed mainly from four aspects of the subject system, object system, compensation system, supervision system. Specific to, In the subject system, I make analysis of problem from the two main point of view of the investor protection fund companies and investors; In the object system, make analysis of problem mainly from three aspects of the source of fund, the form of fund and the function of fund; On the compensation system, mainly discusses the range of compensation and compensation problems in procedure. In the regulatory system, mainly exist some problems about the regulatory unreasonable departments, lack of coordination mechanism between company of investor protection fund and the relative subject.The fourth part makes overview of securities investor protection fund legal system of developed country (region) in the capital market. I discuss each countiy, which has the securities investor protection fund law mainly from four respects of the subject system, object system, compensation system, and supervision system.The fifth part, which bases on the successful experience of each country (region) of securities investor protection fund legal system, combined with the actual situation of China’s capital market, according to China securities investor protection fund problems, makes suggestion for the securities investor protection fund legal system to be perfect, also from the four aspects of subject system, object system, compensation system, supervision system.更多还原