美国期货基金监管模式的研究及借鉴

发布时间：2018-06-21 04:16

本文选题：期货基金 + 监管模式　；参考：《上海社会科学院》2009年硕士论文

【摘要】： 期货基金(Futures Funds)是指主要以期货及远期、期权等衍生工具为特定投资对象并通过专业的投资者管理的基金。期货基金以基金的形式设立于证券市场,并投资于期货市场,具有期货与基金的双重特征。因此,证券市场和期货市场的监管制度都对期货基金的设立和发展具有直接和深远的影响。本文首先对期货基金的基本概念、组织形式等作了介绍,并对期货基金的独有特点进行了讨论。然后对美国期货基金发展的历史和现状进行了分析,在此基础上对美国目前的期货基金监管体系进行了研究。随后,结合美国财政部于前期提出的《美国金融监管体系现代化蓝图》,探讨美国从金融海啸中吸取的经验以及美国监管当局对期货基金行业的监管思路和监管方式所进行的调整。再次,本文结合中国期货市场的历史和现状,分析了目前中国发展期货基金制度的必要性,也对中国期货市场中的不足和缺陷进行了阐述。最后,本文就建立我国的期货基金制度进行了可行性分析,并对具体实施步骤及相应的法律配套安排进行了探索。
[Abstract]:Futures funds refer to funds that are mainly directed to futures and derivatives such as futures and forward, options and so on, and are managed by professional investors. Futures funds are set up in the form of funds in the securities market and invested in the futures market, which has the dual characteristics of futures and funds. Therefore, the regulatory system of securities market and futures market has a direct and far-reaching impact on the establishment and development of futures funds. In this paper, the basic concept and organization of futures fund are introduced, and the unique characteristics of futures fund are discussed. Then, the history and present situation of American futures funds are analyzed, and the current regulatory system of American futures funds is studied. Then, Combined with the "blueprint for the modernization of American financial supervision system" put forward by the United States Treasury in the early stage, this paper probes into the experience that the United States has learned from the financial tsunami and the adjustment made by the American regulatory authorities to the ideas and methods of the supervision of the futures fund industry. Thirdly, based on the history and present situation of China's futures market, this paper analyzes the necessity of developing the futures fund system in China, and expounds the shortcomings and defects in China's futures market. Finally, this paper analyzes the feasibility of establishing the futures fund system in China, and probes into the specific implementation steps and corresponding legal supporting arrangements.
【学位授予单位】：上海社会科学院
【学位级别】：硕士
【学位授予年份】：2009
【分类号】：D971.2;D912.28;F837.12

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