论基金持有人对基金管理人行为的制约

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1、Chapterfourdiscussesthelegalsystemtoguaranteetheinvestors'righttobeinformedofhowthefundoperates.Itisthefoundationofinvestors'supervisihgrights.Thepaperadoptstwowaystohandleit:oneisthesystemofinformationdisclosurebymanagers;theotheristhesystemoffundcreditrating.Chapterfivegivesanel

2、aborationofvariousmeasurestoimprovethesystemoftheunit-holders'meeting.Thisisthepointthepaperwantstoemphasizeon,forthefund-holders'meetingistheveryspecialorganincontractual-typefundsanditisabletoprovideefectivewaytorestrainthemanagers.Thischapteranalyzesthefunctionaldisorderoftheme

3、etingandthedefectsthelegislationcauses.Thenthepaperproposessomesuggestiontoimprovethefund-holders'meetingsystemofourcountry.Thelastchapterconcentratesontheestablishmentofcivillitigationsystemoffund-holders.Firstofall,thepapercomparesthreetypesoftypicalgroupactionsystem,includingre

4、presentativeactionsysteminChina,electionofthepartyinJapanandclassactioninAmerica.ThenthepaperholdsthatthemodeofclassactionshouldbeadoptedinChinaforthefund-holders'convenience.Lastly,thepaperdiscussessomeissueswhichmustbesetledwhenthemodeofclassactionisintroducedintoChina.Inadditio

5、n,thepaperstressesthepointthatthefund-holders'meetingshouldplayanactiveroleinthefund-holders'litigation.Mainlytherearethreecharacteristicsofthispaper.Firstly,thepaperespeciallystressestheimportantroleofthefund-holders'meetingintheinternalsupervisionofthefundmanagers,whilemostschol

6、arstendtoignoreit.Secondly,thearticleusescomparativeresearchmethodtocarryonmuchofitsdiscussion.Lastly,thispaperpaysalotofatentiontothecombinationoftheorywithpractice.Keywords:contractual-typeinvestmentfund,unit-holder,fundmanager,supervision西南财经大学学位论文原创性及知识产权声明本人郑重声明:所呈交的学位论文，是本人在

7、导师的指导下，独立进行研究工作所取得的成果。除文中已经注明引用的内容外，本论文不含任何其他个人或集体已经发表或撰写过的作品成果。对本文的研究做出重要贡献的个人和集体，均已在文中以明确方式标明。因本学位论文引起的法律结果完全由本人承担。本学位论文成果归西南财经大学所有。特此声明学位论文作者签名:姚艳2004年4月导言一、问题的提出及设定自1868年世界上第一家投资基金“海外和殖民地政府信托”(TheForeignandColonialGovernmentTrust)在英国成立，投资基金已经经过了100多年的发展。1991年10月武汉证券投资基金和深圳南山风险

8、投资基金在我国成立。在直到1997年11月《证券投资基金管理暂行办