【作者】 纪险峰；

【导师】 金明；

【作者基本信息】 四川大学 ， 法律， 2007， 硕士

【摘要】 目前，全球私募基金总量已经超过10万亿美元。在履行WTO协议金融业全面开放和国内经济快速发展对金融市场的多元化要求的压力之下，我国私募基金也呈现出火热的发展势头，估计现已超过1万亿元人民币。市场对私募证券投资基金的法律制定及私募风险投资基金的法律完善的要求日益强烈。本文在学习美国等国家和地区先进立法经验的基础上，对我国私募基金的法律规制进行了一定的探索。全文分为三个部分。第一章对私募基金的概述；第二章介绍私募基金常用的组织治理结构：有限合伙制；第三章通过分析我国私募基金现状，提出了法律规制方面的一点思考。本文的主要创新在于：1．在宏观方面，将私募基金分为私募证券投资基金和私募风险投资基金两条并行脉路分别进行研究，提出“他们虽然活跃在不同的领域却是相濡以沫、互助发展”这一观点。2．在微观方面，提出了以下主要几点建议。一是对私募证券投资基金的主要建议有：①以现在地下私募基金发起人和管理人的平均条件立法；②私募发行的信息披露要求应以当事人之间协商为主，尊重市场主体的自治精神。二是对私募风险投资基金的主要建议有：①修改《公司法》，对股份制风险投资公司发起人规定适当的资格条件；②以美国在风险投资者和风险企业之间合同的经验条款事项为蓝本，适当修改后增入我国《合同法》“委托合同”一章中，作为此类合同的必要条款事项。更多还原

【Abstract】 At present, the total amount of private fund globally has exceeded 10 trillion U.S. dollars. China’s private fund also displays fervent developing tendency that having exceeded 1 trillion RMB yuan ,under the diversifying request from the pressure by which developing rapidly to financial market and the opening-up in all—round by fulfilling the WTO agreement.The demand for Law-making of private securities investment fund and Law- amending of private venture investment fund is gradually intense.Based on studying legislative experiences of USA and other advanced countries and some regions,this thesis has maken the certain exploration.This thesis is composed of three sections.The first chapter is a brief introduction on private fund.The second chapter is a introduction of the organization of private fund that is in common use: Limited Partnership.The third chapter is a few points which brought forward from the study of private fund.The new points is mainly lain in:1.In the macroscopic view, I respectively study Private securities investment fund and Private venture investment fund ,bring forward that though existed in different field ,they are helping each other development when both in harmonious circumstances.2.In the microscopic view, main new points have been come up with by me lain in:①main suggestions to Private securities investment fund is lain in: firstly, Law-making should be based on average fund condiction of the illegal Private securities investment fund. Secondly, the information disclosure that Private securities investment fund issue demands should be consult between originator and investor,giving first place to the autonomous spirits of the marketplace parties.②main suggestions to Private venture investment fund is lain in: firstly, it should be done to revise Cooperation Law in order to stipulate appropriate qualification to originators of the stock venture investment fund. Secondly, to take American’certain contract clause items between venture investors and venture cooperations for blueprint , after adopting them appropriately, it should be done to add them into the chapter of entrusting contract in Cooperation Law as the necessary clause items.更多还原