【作者】 王红丽；

【导师】 许明月；

【作者基本信息】 重庆大学 ， 民商法， 2008， 硕士

【摘要】 基金作为人们的投资方式之一,在我国已经呈现蓬勃发展之势。由于其不同于一般有价证券的特点,并且在我国处于新兴阶段,有关法律规定滞后,因此虽然现在实践中存在基金份额进行质押贷款,并且《物权法》也明确将其作为一种新的担保物权类型-基金份额质押而作出规定,但是无论有关的法律规定还是实践都不够成熟。因此,本文拟在对基金份额质押的可行性进行论证基础上,对基金份额质权的相关的法律问题进行探析。正文分为五大部分。首先,第一部分分析基金运行的法理基础,在此部分,论文分析了基金份额质权的含义及内容、基金份额质押的法律本质、基金份额质押的弊端以及优越性。第二部分主要分析基金份额质押的设立及生效。基于我国现行法律规定,讨论了基金份额质押的设立方式,以及基金份额重复质押和公示公信问题。第三部分分析了基金份额质押对双方当事人的效力。第四部分析了基金份额质权的面临的风险及控制风险的办法,这是保证基金份额质权顺利发展的重要保证。第五部分主要讨论了基金份额质权的实现。本文最后一部分是论文的结语,主要是总结全文,明确作者的观点,提出文章的结论。更多还原

【Abstract】 Funds as one of the investment tools have been boomed in our country in recent years. Because it’s at the beginning in our country and its characteristics from other securities, the proper regulation hasn’t been enacted yet, especially in the pledge of the funds’shares. Property law sets the legal status of funds’shares for being a pledge, but the related regulations are still immature. This paper focuses on the feasibility of funds’shares being a pledge and also tries to discuss the development of related regulations.The first part of my paper is about the jurisprudential basic of investment funds. Finds out the conception and the contents of the pledge right of funds’shares, and also its legal nature and it’s one of the right pledges.The second part is about the establishment and the validity of the funds’pledge. Analyze the way of establishment of the funds’share, the repledge and the principle of public Announcement and trust.The third part is the effectiveness on the both sides of the pledge of the funds’shares.The fourth part analyzes the risks and its control of the pledge of the funds’shares which can guarantee the smooth development of the pledge of the funds’shares.The fifth part is about the realization of the pledge.The last part is the closing address which emphasizes the topic and the shortage of this paper.更多还原