中国对冲基金立法建议研究

发布时间：2018-04-09 06:14

本文选题：对冲基金　切入点：国外立法经验　出处：《大连海事大学》2011年硕士论文

【摘要】：随着金融全球化的迅猛发展,国际资本在国与国之间的流动更为自由,对冲基金在国际金融体系中的作用越来越大。在我国,融资融券,股指期货的推出为对冲基金的高速发展提供了有利环境。在法学领域,对冲基金立法问题是一个较为前沿的问题,资料相对较少且主要涉及对冲基金立法的现实性与意义,而详细的立法内容并不完善。因此,我国立法机构应完善相关法律制度,这样才能尽可能避免对冲基金对我国金融体制造成大的冲击,避免可能带来的损失。本文首先简要介绍了对冲基金概念特征,立法意义；然后在介绍外国立法经验的基础上提出了我国对冲基金的立法建议。具体内容如下：引言部分主要介绍了写作目的及写作方法。正文分五部分,第一部分是对冲基金立法概述,介绍了对冲基金定义特征,讲述了加强对冲基金立法有利于资本市场发展,有利于投资人保护,有利于监管者有效监管等意义。第二部分是从麦道夫案分析我国对冲基金立法的必要性,该部分反思了麦道夫案发生的立法缺陷并揭示了加强我国对冲基金立法防范类似事件的必要性。第三部分是外国对冲基金的立法经验及对我国的启示,通过分析比较美国,德国,香港的对冲基金立法经验揭示了我国对冲基金立法应涉及的问题,如对冲基金发行设立,投资限制,管理人,信息披露等方面规定。第四部分是我国对冲基金立法现状,本部分指出了我国对冲基金立法主要存在的问题,即对冲基金法律地位不明确,对冲基金参与主体资格与权责缺乏法律限定,管理人托管人行为缺乏监管。第五部分是我国对冲基金立法修改的建议,本部分分别针对《公司法》和《证券投资基金法》提出了立法修改的建议。结论部分笔者重申了对对冲基金立法问题的看法。
[Abstract]:With the rapid development of financial globalization , international capital flows more freely in the international financial system .
Then , on the basis of introducing the experience of foreign legislation , this paper puts forward the legislative proposal of our country ' s hedge fund . The concrete contents are as follows :

The introduction part mainly introduces the purpose of writing and the writing method .

The main text is divided into five parts , the first part is the legislative overview of the hedge fund , introduces the definition characteristics of the hedge fund , tells the significance of strengthening the hedge fund legislation in favor of capital market development , facilitating investor protection and facilitating the effective supervision of regulators .

The second part is the necessity of analyzing the legislation of China ' s hedge funds from the case of MacDoufu . The part reflects the legislative flaws in the case and reveals the necessity of strengthening the legislation of hedge funds in China .

The third part is the legislative experience of foreign hedge funds and its inspiration to our country . By analyzing and comparing the legislative experiences of hedge funds in the USA , Germany and Hong Kong , the problems related to the legislation of hedge funds in China are revealed , such as the establishment of hedge funds , investment restrictions , managers , information disclosure and so on .

The fourth part is the current situation of China ' s hedge fund legislation . This part points out the main problems in China ' s hedge fund legislation , that is , the legal status of the hedge fund is not clear , the participation of the hedge fund in the subject qualification and the lack of legal definition , and the lack of supervision of the behavior of the custodian .

The fifth part is the suggestion of legislative amendment of China ' s hedge fund , and this part puts forward some suggestions on legislative amendment to the Law of Corporate Law and Securities Investment Fund .

In conclusion , the author reiterates its views on the legislative issues of hedge funds .

【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.287;F832.51

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