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中国、英国、美国开放式基金的法律制度 英文PDF|Epub|txt|kindle电子书版本网盘下载
- 姚誉作著 著
- 出版社： 北京：中央编译出版社
- ISBN：9787511727671
- 出版时间：2015
- 标注页数：229页
- 文件大小：42MB
- 文件页数：255页
- 主题词：证券投资基金法－对比研究－中国、英国、美国－英文
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图书目录
Chapter 1 The Nature and Importance of Open-Ended Funds1
1．The Nature of Open-Ended Funds2
1.1 The Nature of Open-Ended Funds in the UK2
1.2 The Nature of Open-Ended Funds in the USA15
1.3 The Nature of Open-Ended Funds in China17
2．The Importance of Open-Ended Funds in the Modern World24
Chapter 2 Conflicts of Interest28
1．The Nature of Conflicts of Interest within Open-Ended Funds29
1.1 Divergence of Interest in Corporate Governance29
1.2 Market Behaviours Tainted by Conflicts of Interest in the Financial Markets46
2．Possible Remedies55
2.1 Enhanced Corporate Governance56
2.2 Enhanced External Supervision58
Chapter 3 Regulation of Open-Ended Funds in the UK60
1．Internal Corporate Governance in the UK60
1.1 Fiduciary Duty Imposed by Case Law60
1.2 General Duties of Trustees Imposed by Statutes67
1.3 Chinese Wall73
1.4 Separation of Business74
1.5 General Meeting of Fund Holders75
1.6 Disclosure76
2．External Supervision in the UK77
2.1 The Limitation of Objects of Open-Ended Funds'Investment77
2.2 Market Abuse80
2.3 Regulator91
Chapter 4 Regulation of Conflicts of Interest in the USA98
1．The Board of Directors99
1.1 Election of Directors100
1.2 Independent Directors101
2．Fiduciary Duties107
2.1 Fiduciary Duties under Section 36 of the Investment Company Act 1940108
2.2 Lack of Guidance109
2.3 Cases Corresponding to Section 36110
3．Restrictions of Affiliated Transactions121
3.1 Who Are Affiliated Persons of A Registered Investment Company?122
3.2 Affiliate Transactions with Affiliated Persons Themselves127
3.3 Joint Transactions with Affiliated Persons128
3.4 Brokerage or Agency Transactions with Affiliated Persons128
3.5 Underwriting by Affiliated Persons129
4．Regulation of Insider Trading(Personal Trading)129
4.1 The Definition of Insider(Access Person)130
4.2 Regulation of Personal Trading130
4.3 Report Insiders'Personal Securities Holdings and Transactions132
4.4 Review of Reports134
4.5 Pre-Clearance of Investment in IPOs and Limited Offerings134
4.6 Recordkeeping and Public Disclosure135
4.7 The SEC's Action135
Chapter 5 Internal Corporate Governance of Open-Ended Funds in China and Proposals for Reform136
1．Ownership Structure136
1.1 Drawbacks of the Existing Ownership Structure136
1.2 Should Banks,Securities Companies or Trust Companies Be the Holding Shareholders of the Fund Management Company?137
1.3 Which Type of Ownership Structure Is Better for An Efficient and Reliable Legal Form of open-Ended Fund in China,Ownership Concentration or Ownership Dispersion?139
1.4 Conclusion140
2．Independent Directors140
2.1 Ratio of Independent Directors141
2.2 Reviewing the Management Fees143
2.3 Reviewing the Affiliate Transactions145
3．Chinese Wall145
4．Affiliate Transactions146
4.1 The Definition of Affiliated Persons146
4.2 Restrictions on Affiliate Transactions151
5．Legal Remedies152
5.1 Fund Holder's Direct Action153
5.2 Fund Holder's Derivative Action155
5.3 The Function of the General Meeting of the Fund Holders161
Chapter 6 External Supervision of Open-Ended Funds in China and Proposals for Reform162
1．The Limitation of Objects of Open-Ended Funds'Investment163
1.1 Limitations on the Types of Investment Objects163
1.2 Limitations on the Proportion of Investment164
1.3 Proposal for Limitation on the Amount of Investment Capital of Open-Ended Funds165
2．Market Abuse168
2.1 Insider Dealing169
2.2 Divulging Inside Information183
2.3 Counseling Others to Purchase or Sell Securities184
2.4 Market Manipulation185
2.5 Liabilities194
2.6 Other Market Abusive Measures Such as Herding197
3．Regulator208
3.1 Investigation by the CSRC209
3.2 A Brief Image of the Regulator in the Future210
Chapter 7 Conclusion211
Bibliography215
Acknowledgements229