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China's securities investment fund custodian Perfection

Author: LaiYing
Tutor: LiAiJun
School: China University of Political Science
Course: Legal
Keywords: Trust System Fund custodian Oversight functions
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 222
Quote: 1
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Abstract


The moment, China's securities investment funds there are many problems, and constantly broke illegal operations, improper operation, \This is not only due to market loss of credibility with the government of lax supervision, but also exposed the securities investment fund market unsound internal checks and balances. Investors are a core component of the capital markets. While China's securities investment market since its inception, has always been accompanied by a strong small and medium investors to participate in the brand, amount of investment by small investors, information and expertise limitations, are susceptible to a variety of moral from the securities market risk, operational risk and regulatory risks, and many other shocks. Improve investor protection regime is the era of globalization of capital markets to measure a country's international competitiveness of the important criteria. Improve investor protection system as the basic structure of the capital market, what it contains is diverse, in addition to fund parties self-discipline, also includes funds relationship between the parties conduct supervision, mainly reflected in the fund custodian the fund manager's supervision. The securities investment fund legal relations in the academic community there has been a lot of controversy, I want to discuss the trust in the relationship, based on the exploration fund manager and fund custodian of the legal relationship. Securities investment funds operating fund parties play a key role in fund managers, fund share holders for obtaining optimal benefits plays a vital role. Fund managers rely solely on self-discipline, and consciously legal obligation to reduce fund risk, increase interest in a fund is not enough. Fund managers frequently abnormal trading behavior also shows that more than the funds held in escrow inadequate supervision. In this regard, China's \However, the moment constantly burst of the \Therefore, I believe it is necessary to focus on research fund custodian in securities investment funds in which the status of legal relations and responsibilities, combined with practical inquiry about the fund custodian of the inadequacies of the system provides and excellent experience from abroad, made Perfection of securities investment fund custodian institution related recommendations, to ensure that the interests of investors, securities investment funds and the good functioning of the fund industry. In addition to conclusion, the paper is divided into four chapters. The first chapter is an overview of securities investment funds, securities investment funds analyzed countries parties to the trust model, and expounded China's securities investment funds legal relationship between the parties, and points out the reality of the introduction of the fund custodian background. The second chapter discusses the securities investment fund custody legal status, functions and the various rights and obligations. The third chapter analyzes the status quo of China's securities investment funds, the main issues, including the lack of independence of the fund custodian, incentive, China's legislative constraints on the fund custodian is not enough and so on. The fourth chapter previous chapter analyzes the main issues raised improve our system of securities investment fund custodian related recommendations.

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