【作者】 赵丽萍；

【导师】 罗猛；

【作者基本信息】 哈尔滨工程大学 ， 经济法学， 2009， 硕士

【摘要】 2008年世界金融危机重新引发了社会各界对监管问题的重视。风险投资作为经济活动中一项高风险行业,需要法律、政策对其予以规范,加强监管,从而确保风险投资业的健康有序发展。公共利益论、寻租理论、利益集团监管理论等监管理论是我国风险投资监管法律制度的基础理论。尤其是在世界金融危机大背景下,我们要充分协调好自主创新和风险投资监管之间的关系,采取适度监管原则。世界上风险投资监管体制主要有集中型监管体制、自律型监管体制和中间型监管体制三种类型,目前我国应采取以中国证监会作为风险投资主要监管机关,同时以行业自律与内部监控为补充的集中型监管模式,待我国风险投资业运作较为成熟和规范后,再向既强调立法管理,又注重自律管理的中间型监管体制过渡。无论是对风险投资从业人员还是对风险投资组织都要实行严格的市场准入制度,同时辅之严格的市场禁入制度,要严格限制风险投资资金的范围和投向,采取防范和化解风险投资风险的措施。对如何加强对中国风险投资的特殊主体一政府的监管上,应采取转变政府风险投资运作方式,尽快建立以民间资本为主体的风险资本形成机制,建立全方位、全过程的监管体系以及建立政府风险投资责任追究制度等措施。更多还原

【Abstract】 Due to the 2008 financial crisis, the attention from community focus on issues of financial supervision again. As one of high risk industry in economic activity, Venture capital need legal, policy to make it in criterion, and to strengthen its supervision. That guarantees development of venture capital industry healthily, regularly.With the public interest theory, rent—seeking theory, interest groups supervision theory and other theories became basal theory of venture capital legal supervision system of China, especially in the world financial crisis background, we need deal with the relationship between self-innovative and venture capital supervision sufficiently, and use suitable supervision principle. There are three main types of venture capital supervision systems, concentrated type, self-disciplined and in-between type. In China, we should regard CSRC as main venture capital supervision Institution, and use self-discipline, inner supervision as complementarity to compose concentrated supervision type. When the operation of venture capital turns mature and standard, we can transit from concentrated type to in-between type, which emphasize legislation management and self-discipline management. For the venture capital practitioners and venture capital organization, we should execute the strict permission rules, and use strict forbidden market access rules as reinforcement, in order to limit the scope and direction of venture capital, all of them can keep away and reduce the risk of venture capital.For how to strengthen the venture capital in China’s special subject—Government supervision, we should change the way of government venture capital, that is to establish the new venture capital tape, which use private capital as principal part immediately, to establish comprehensive integrated supervision systems and responsibility tracing systems.更多还原