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Corporate Governance of Securities Investment Fund Company

Author: MaiZuoZuo
Tutor: RuanYongPing
School: East China University of Science and Technology
Course: Business Administration
Keywords: securities investment funds corporate governance fund management fund regulation
CLC: F832.51
Type: Master's thesis
Year: 2012
Downloads: 204
Quote: 0
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Abstract


Securities investment fund management company is the investment management industry in a class, the company’s main business is to manage the client’s assets, so the effect of corporate governance not only affect their own property, but also affects the customer’s assets. Beneficiaries of the securities investment funds and fund shareholders there is some dislocation interests, and therefore the study of corporate governance fund managers not only manage the company’s research, but also for the public financial institutions and legal system of governance, integrity and other issues study and discussion. In this paper,68 domestic fund management companies as an example to analyze the governance of China’s securities investment fund management company’s corporate governance impact on the fund governance. Choose three of the more typical development characteristics, and development process with the comparability of the securities investment fund management company is a typical case, through research and analysis of China’s securities investment fund management company’s corporate governance and fund management, corporate governance are discussed the importance of governance of the Fund. By analyzing the current regulatory system under the fund’s corporate governance and fund management system, analyzing China’s current regulatory body in the system and the lack of regulations and inadequate. Funds from abroad through the experience of our regulatory system, fund regulatory system development. Analysis of the existing regulatory system and how to improve shareholder relations between the interests of fund holders, and fund management companies to establish long-term development and adhere to long-term value investment ideas, establish and improve the company’s long-term mechanism. The role of incentives, incentives dialectical discussion of the role in the fund company, to explore how to play the role of incentives to strengthen the building of personnel to enhance their level of investment and management capabilities. Fund professional investment institutions to play a role in maintaining stability and prosperity in the stock market, and promote healthy and orderly development of China’s capital market. By analysis of ethics and professional conduct events on the investment management industry, the importance of the integrity system, proposed to establish and improve China’s fund management industry and its employees the need for restraint mechanism. Explore how to optimize existing laws and regulations in order to play the work of independent directors and the independence of inspector general, increasing the Fund’s internal control management. Professional Ethics for the Fund to strengthen risk management and supervision, improve the mechanism to fund the construction of internal constraints. Explore how to further strengthen and improve our securities investment fund management companies and supervision of employees means lower securities investment fund managers and their employees violate the moral hazard of motivation to enhance China’s securities investment fund management company level, allowing investors interests are effectively protected. The article also analyzes and discusses how to simultaneously play a custodian, fund rating agencies, fund sales, etc. The role of external agencies. Analysis of external governance and internal governance are bound to exist, and to explore the internal governance by external governance to promote optimal way to enhance the management level of China’s fund management.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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