Dissertation > Excellent graduate degree dissertation topics show

The Conflicts of Interest and Legal Regulation in Securities Investment Fund

Author: ZhangZuo
Tutor: YuYing
School: Jilin University
Course: Civil and Commercial Law
Keywords: Securities Investment Fund Conflicts of interest Duty of loyalty Legal Regulation
CLC: D912.28
Type: Master's thesis
Year: 2006
Downloads: 156
Quote: 2
Read: Download Dissertation

Abstract


As an inevitable phenomenon in the operation of investment fund in securities, conflicts of interest bring about tremendous risks to the interest of investors. The legal regulation to conflicts of interest is the important content of securities investment fund law. This thesis dissertates the interest conflicts in securities investment fund as well as its legal regulation from four aspects:Chapter One clarifies the legal meaning, characteristics, entities and forms of interest conflicts in securities investment fund. The thesis points out that the nature of conflicts of interest is the conflicts between the fiduciary’s self-interest and the interest of principal in a given fiduciary relation. Securities investment fund is a typical kind of fiduciary relation, so its interest conflicts exist between the self-interest of fund manager as well as custodian who both act as fiduciaries and that of fund acting as principal. This kind of interest conflicts takes on the traits such as objectivity, the possibility of fund damage, complexity, diversity and concealment, etc. In practice, the indirect interest conflicts that the fund manager and custodian’s affiliated persons engage in transactions are far more usual than the direct interest conflicts that they participate in the deals themselves. Therefore, all countries and regions generally bring the affiliated persons of fund manager and custodian into the entities of conflicts of interest in securities investment fund. The judgment criterion of affiliation relationship is whether there are direct material interest relations between fund manager, custodian and the third party. This kind of material interest relations are mainly caused by three reasons: the relation of investment, management / labor and others. According to the different backgrounds, there are three forms of conflicts of interest in securities investment fund: the interest conflicts of affiliated transaction, fund manage fee

Related Dissertations

  1. Chinese sovereign wealth funds, foreign investment legal regulation,D996
  2. Discussion on China 's shopping card coupons legal regulation,D923.8
  3. The Study of Legal Regulation on Public Rental Housing,D922.181
  4. The Research of the Late-model Manipulation of Securities Market and Its Legal Regulation,D922.287
  5. Economic Analysis on the Regulation of Administrative Monopoly in China,D922.294
  6. Status Expansion and Legal Adjustment,D912.29
  7. Research on the Legal Regulation of Intellectual Property Rights Abuse,D922.294
  8. The Study of Legal Regulation to China’s Agricultural Insurance,D922.284
  9. On the crime of perfidy damage interests of listed companies,D924.3
  10. The Analysis Report of Surrogacy in China and Its Legal Regulation,D922.16
  11. Legal Regulation for Illegal Operation,D922.296
  12. Reseach on Legal Regulations on the Price of China’s Telecom,D922.294;F626
  13. Legal Regulation of unfair standard terms of mobile communications services contract,D922.296
  14. On the legal regulation of legislative rent-seeking phenomenon,D922.1
  15. The Study on Legal Regulation of International Financial Information Services,D996.2
  16. Study on Legal Problems of the Round-trip Investment,D99
  17. On the Business Judgment Rule,D922.291.91
  18. The Analysis of Open-end Fund’s Overall Performance and Performance’ Sustainnability of China,F832.51
  19. Research on the Legal Regulation of Malicious Prosecution Tort,D923
  20. A Study on the China’s Legal Regulations of FDI Control,F832.6
  21. On the obligation of diligence of the directors of the company,D922.291.91

CLC: > Political, legal > Legal > UNIVERSITY > Financial Law
© 2012 www.DissertationTopic.Net  Mobile