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Study on Legal Regulation on Violating Securities Investment Fund Manager of Loyalty Duty

Author: CuiYaZuo
Tutor: WangGuiFang
School: Huazhong University of Science and Technology
Course: Economic Law
Keywords: fund managers loyalty duty conflict of interests
CLC: F832.51
Type: Master's thesis
Year: 2009
Downloads: 47
Quote: 0
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Securities investment fund managers play the important part in the operation of securities investment funds, and assume a wide range of loyalty duty for fund holder managing the fund asset. The interest of fund holders always depend on the behavior of fund managers, therefore, fund managers of loyalty duty is paly the important in regulation.There are four parts in this essay.The first part briefly introduced the Trust legal system, interpreted the important concepts of fiduciary duty,loyalty duty, securities investment fund managers of loyalty duty, conflict of interests ,and analysed the necessarity of Chinese regulatory system for securities investment fund managers of loyalty duty . In the basis of the second part for the studying of the common law and the civil law for securities investment fund managers on regulating the loyalty duty , the third part is established in China, through the introduction to Chinese legislative actuality, bringing forward Chinese Legislation is lack of the principle of investment fund managers loyalty of duty, and take a total ban method, not to effectively protect the interests of fund holders.Therefore,the China is a country of lack of trust culture, and less the history of the Trust duty in property and economy,so it is necessary to regulate securities investment fund managers.the fourth part give some advices for fund managers of loyalty duty regulation. This article claims: 1. in principle,the law should expressly stipulate that the securities investment fund manager of loyalty duty; 2. Correctly define the scope of fund managers related person, to determine the scope of regulation; 3. take a different method and assort to regulate the act of violating the behavior of loyalty duty, it is divided into the principle transaction,the joint transaction and the agency transaction.The principle transactions take the method of principle prohibition and exceptive exemption,and the joint transaction and agency transactions take the method of the general acception and individual prohibition ;4.Improve the legal liability of Chinese securities investment fund managers violating loyalty duty. In the administrative liability, learning from the U.S. civil litigation system and the hearings to make up for the shortcomings of Chinese administrative system; in the civil liability , there are four civil liability way ,such as confirmed invalid, under the liability, damages, and stop abuse, to protect the interest of fund holders; in criminal liability, created the crime of breach of trust of financial professionals, and increase the penalty for violation behavior.

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