从基金暂停申购看投资者权益保护

发布时间：2018-01-13 14:13

本文关键词：从基金暂停申购看投资者权益保护　出处：《证券市场导报》2012年01期 　论文类型：期刊论文

【摘要】：开放式基金制度设计的初衷是赋予投资者自由申购赎回的权利,只有在特定情况下才能暂停申购以维护持有人权益。本文深入研究了我国开放式基金暂停申购的各种情况、背后的原因以及对投资者权益的影响,认为基金管理人在暂停申购决策过程中具有较大的自主空间,可能利用暂停申购,实现自身利益最大化而损害持有人利益。为规范基金暂停申购,维护投资者权益,本文建议应加强对基金管理人的监管和约束,细化基金暂停申购的具体规则,完善暂停申购信息披露制度,改进对长期暂停申购基金的评价方法等。
[Abstract]:The original intention of the open-end fund system design is to give investors the right to purchase and redeem freely. In order to protect the rights and interests of holders, we can suspend the application only under certain circumstances. This paper deeply studies the various situations of suspending the purchase of open-end funds in China, the reasons behind the suspension and the impact on the rights and interests of investors. It is considered that the fund manager has more independent space in the decision-making process of suspending purchase and may make use of the suspension of purchase to maximize his own interests and harm the interests of the holder in order to standardize the suspension of the purchase of the fund. In order to protect the rights and interests of investors, this paper suggests that we should strengthen the supervision and restriction on fund managers, refine the specific rules of suspending the purchase of funds, and perfect the information disclosure system of suspending applications. Improve the long-term suspension of the requisition fund evaluation methods.
【作者单位】：中国证监会广东监管局;
【分类号】：F832.51
【正文快照】： 开放式基金作为投资工具,在激励约束机制、流动性、透明度和投资便利程度等方面具有优势,其核心在于市场选择性强,赋予了投资者自由申购赎回的权利。我国《证券投资基金法》第五十二条规定:基金管理人应当在每个工作日办理基金份额的申购、赎回1业务;基金合同另有约定的,按照

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