Study On Several Legal Aspects Of The Supervision Of Securities Investment Fund

This dissertation analyzes and discusses the legal aspects of securities investment fund. The dissertation consists of three chapters, i.e. the introduction, the main body and the conclusion, which is, on the whole, about 46,000 Chinese characters.The first chapter probes into the definition and the legal framework of securities investment fund. In Section One the author defines the securities investment fund and analyzes the trust system, which is the legal foundation of the securities investment fund. In Section Two the author discusses the subjects, rights and obligations of the securities, and then reconstructs the legal framework of the securities investment fund on the basis of the analysis of some foreign modes.Chapter Two discusses the theoretical foundation of supervision of securities investment fund. Section One analyzes the theoretical foundation of government supervision, and draw the conclusion that the supervision be proper after rethinking on the defects of government supervision, which is followed by a careful analysis on what is proper supervision by the government. Section Two looks into the contents of supervision of securities investment, including the definition, the principle, and the objects of supervision.Chapter Three is the core of this dissertation. The author constructs the supervision mode of supervision of securities investment fund on the basis of the analysis of some foreign modes and the present supervision situation of our country. The government supervision should play the main role in the process of gradual perfection of the legal system of the securities investment fund supervision, while the industry's self-discipline assists the government supervision, In the first section, the author thinks that a Securities Investment Fund Supervision Code be promulgated when the market is quite mature and the legislation techniques is relatively high, then the author puts forward his proposals on the framework of the code. In the second section, the author analyzes the existing problems in the present government supervision and puts forward his counter-measures. The third section briefly analyzes the necessity of industry's self-supervision, the duties and obligations of the industryand the organization form of the industry. And finally the author suggests an independent and nation-wide association of the securities investment fund be established and gives his specific plan.