基金財(cái)產(chǎn)獨(dú)立性及其投資者權(quán)益保護(hù)的法律思考.pdf

1、V772_248後旦大學(xué)碩士學(xué)位論文(專業(yè)學(xué)位)學(xué)校代碼：10246學(xué)號(hào)：022027099基金財(cái)產(chǎn)獨(dú)立性及其投資者權(quán)益保護(hù)的法律思考院系(所)：專業(yè)：姓名：指導(dǎo)教師：完成日期：法學(xué)院法律碩士羅應(yīng)華胡鴻高教授2005年4月22日AbstractThisArticleisintendedtodiscussfromlegalaspectthenatureofindependenceoffundassetsandtheprotectionof

2、rightsandinterestsoftheinvestorswiththeanalysismethodofcomparisonOnthebasisoffundasset，thewriterdiscussedrelevantlegalissuesinrelationtotheprotectionoftherightsandinterestsofthefundinvestors，inclusiveofthefollowingsixiss

3、ues：thelegalstructureofthecontractualinvestmentfund，independencenatureofthefundassets，rightsandinterestsofthefundinvestors，fiduciarydutyofthefundmanagementcompanyandthecustodians，civilremediesfortherightsandinterestsofth

4、efundinvestorsaswellasthesuggestionsonhowtoimprovetheguaranteesystemofrightsandinterestsofthefundinvestorsinourcountryInadditiontotheconclusion，thisarticleconsistsofsixchaptersThefirstchaptermainlyelaboratedthedefinition

5、，features，classification，andhistoryofinvestmentfundandtheillegaloperationsinfundindustryaswellastheimportanceofprotectingtherightsandinterestsofthefundinvestorsThesecondchapterisaboutthelegalstructureofcontractualinvestm

6、entfundandtheindependencenatureoffundassetsOnthebasisoftrusttheorythewriterfirstlyelaboratedthelegalstructureofthecontractualinvestmentfundanddiscussedthelegalrelationsamongthepartiesthereofThewriterthenanalyzedthepropri

7、etorshipoffundassetandsetforththeindependencenaturethereofThethirdchapterisabouttherightsandinterestsofthefundinvestorsandtheindependenceofthefundassetFirstlythewriterintroducedtherightsandinterestsownedbythefundinvestor

8、sandespeciallyfocusedontherightofconveningandvotingoftheinvestorsonthefundshareholder’Smeeting，therightofknowandtherightoflawsuitThereafterthewriterpresentedtheopinionthattheindependenceoffundassetwasbeneficialtotheprote

9、ctionoftherightsandinterestsoftheinvestorsandmadeanalysiscorrespondinglyThefourthchapterisaboutthefiduciarydutyofthefundmanagementcompanyandthecustodianstotheinvestorsThewriterfirstoutlinedthefiduciarydutyinfundareaandpo

10、intedoutthatfiduciarydutyincludedobligationofsincerityandobligationofcareThemaincircumstanceofbreachoftheobligationofsinceritywasthetransactionofconflictsofinterestandestablishmentofeffectiveriskcontrolsystemwastheimport