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The Improvement of the Supervision System of Fund in China

Author: LiuLin
Tutor: JiangYuMei
School: Southwestern University of Finance and Economics
Course: Legal
Keywords: Securities Investment Fund Legal System Government Supervision Self-Restriction Third-party Regulation
CLC: D922.287
Type: Master's thesis
Year: 2009
Downloads: 96
Quote: 1
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Abstract


In China’s financial market, securities investment fund is one of absolutely necessarily financial products and needs effective supervision. The supervision of securities investment fund means the supervisor use legal, economic and administrative method to limit and restrict the whole process, including collect, issue and trade these funds, with the purpose of maintaining capital market healthily growth.As an organic composition of market system, securities investment fund needs supervision on account of its operational defects. Moreover, to protect the interest of investors, foster a favorable financial environment, and develop capital market also need supervision. The theory of market defect and the value of equity and justice formed the theoretical principle of fund supervision.Since the development level of capital market is inferior to western developed countries, we need to learn each other’s advanced experience. On contrast of foreign fund supervision modes, we can conclude that under the premise of a perfect legal system, we should form a fund supervision framework which involves government supervision, self-restriction and third-party regulation. We also have to know, there are many problems still exist. On the side of legal system, China’s Securities Investment Fund Law needs revise immediately.On the side of government supervision, the legal status of CSRC (China Securities Regulatory Commission) is not significant, and its power of supervision is relatively decentralized. On the side of self-restriction, SIA (Securities Industries Association) and Stock Exchange made a poor performance. Furthermore, the third-party did not play a due role.To revise Securities Investment Fund Law immediately and legislate several specific regulations, to enforce CSRC’s function and establish Finance Supervision Department, to improve SIA’s performance and redefine the legal status of Stock Exchange, to strengthen accounting firm, audit firm, and law firm construction, to set up an authoritative fund evaluation system, etc, these are the best routes to improve the supervision system of investment fund.

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CLC: > Political, legal > Legal > Chinese law > Financial Law > Securities and Management Act
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