【作者】 孔令兵；

【导师】 钟付和；

【作者基本信息】 华侨大学 ， 经济法学， 2006， 硕士

【摘要】 基金业在欧美等国已经有了上百年的历史，但在我国的诞生仅有十余年。尽管起步较晚，我国的基金业发展速度却非常快。基金业的快速发展带来一系列问题：基金监管理论研究相对滞后，对基金监管不力，相关法律法规不健全等，这种状况严重地影响了我国基金业的健康发展。 本文从经济法学的视角，运用理论分析、实证研究和比较方法相结合的研究方法，从证券投资基金法律的诸多制度中，选取其中的监管法律制度进行了系统的探讨。文章的论证思路是：首先从微观角度，对监管主体、监管内容及监管责任进行分析，然后从宏观上对基金监管体制进行了比较总结，最后提出构建我国新型基金监管体制的建议。文章在运用实证方法分析我国当前证券投资基金监管体制不足的基础上，在多处提出了关于改变立法理念、完善立法实践方面的建议，特别是对证监会适度性监管原则的研究，是该领域中较为前沿的问题。全文除引言外共分五章。 第一章为证券投资基金监管概述。着重从证券投资基金的法律构造入手，分析了证券投资基金监管的概念；然后运用经济学、法理学理论论证了证券投资基金监管的必要性。为后文作了铺垫。 第二章论述了证券投资基金监管的主体。分别分析比较了证监会、证券交易所和基金自律组织等监管主体在监管基金业中的作用、功能。该部分对证监会在监管过程中的适度性原则作了重点分析，强调了证监会作为政府的代言人在监管过程中要把握适度性原则，即将政府监管严格限制在市场失灵的领域，限定在对市场缺陷干预能起积极作用的领域，并且应当限定在监管能产生效益的范围内。 第三章对证券投资基金监管内容进行具体分析。论述了证券投资基金市场准入的法律监管、证券投资基金信息披露的法律监管、证券投资基金风险的法律监管和证券投资基金不正当交易的法律监管。 第四章分析了证券投资基金监管的法律责任。指明证券投资基金监管法律责任具有复合性、社会性和经济性。分析的重点在其特殊性方面，而不是简单地照搬其他法律部门的法律责任来代替该领域的法律责任。 第五章首先从宏观角度，对世界主要资本主义国家基金监管体制进行比较分析，然后述评了我国目前的基金监管体制，最后提出构建我国基金新型监管体制的建议。更多还原

【Abstract】 The Investment Fund has a history of over one hundred years in Europe and America, but Investment Fund in China has been only more than ten years since its birth. Although our country’s investment fund starts late, its development speed is extremely quick. The fast development brings a series of questions: The theoretical research of fund supervision relatively lag, the related laws and regulations is not sound and so on, This situation seriously affects the healthy development of China’s fund industry.This article, from perspective of the economic law, does the research by using methods of theoretical analysis, empirical research and comparative studies. It selected the issue of fund supervision as its subject among the various topics in domain of investment fund law.The analysis process of the article is as follows: firstly the thesis analyzes the function of the supervisory organ, the content as well as the liability of supervision from the micro perspective, and then it carries on a comparative summary to the different fund supervision schemes from the macro perspective. On basis of the study above, the article puts forward many suggestions on changing legislative ideas as well as improving legislative practice. Concerning the study of appropriate regulatory principle for CSRC, it has been the leading issue in this field.The full text is divided into five chapters besides the introduction.First chapter is an outline of securities investment fund supervision scheme. This chapter discusses the concept of the scheme and then analyzes the need for regulation of securities investment fund by using approaches of economics and jurisprudence. The chapter is the basis of this thesis.Second chapter elaborates securities investment fund supervising organs and comparatively analyzes the function of the CSRC, the stock exchange and self-regulatory organizations. The part focuses on the更多还原