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Research on the Governance System of Chinese Securities Investing Funds

Author ZhangBaoRui
Tutor YangYuSheng
School Liaoning University
Course History of Economic Thought
Keywords Securities investing funds Governance system
Type PhD thesis
Year 2013
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The rapid progress of the socialist market economy of China has been stronglyboosting Chinese securities investing funds. Nevertheless, there is growing concern aboutthe shortcomings and limitations exposed by the developing Chinese securities investingfunds. By examining and consulting the mature experiences of developed countries insecurities investing funds, China has been adopted a series of measures at the variouslevels of legislating, introducing systems as well as supervising and so on. Although,many problems still exist. Accordingly, in order to constructing reasonable investingfunds governing system, it bears importantly theoretical and practical implications tostrengthen the research on the governance of Chinese investing funds.On the basis of the theory of basic economics, this thesis deeply analyzes the lineageand governing system of Chinese investing funds, presents the investing funds governingsystem centering on protecting investors as well as synthetically and systematicallydesigns the related mechanism by examining the developing process of securitiesinvesting funds system made by advanced countries. Effective securities investing fundsgoverning system refers to a synthesis incorporating balancing and encouragingmechanism, supervising and restricting mechanism and remedying and compensatingmechanism under certain investing funds organization.The outline of this thesis is as following:Chapter1is the introduction followed by Chapter2states the economics theoriesclosely related to securities investing funds. By examining the lineage of thedevelopment of securities investing funds governance in the involving advancedcountries, identifying the general law of the development of securities investing fundsgovernance constitutes the majority of Chapter3. The next Chapter provides specificproblems and advices thereof by means of theoretically analyzing a series of systems andmechanisms such as balancing and encouraging mechanism, trustee mechanism andindependent director mechanism. By theoretically analyzing the related mechanisms insupervising and restricting system such as market entrance mechanism, informationdisclosure mechanism, supervising mechanism and evaluating mechanism, Chapter5suggests a series of suggestions. In the end, Chapter6provides the advices regardingbuilding administrative assisting mechanism, compensating and supporting mechanismand improving compensating mechanism.

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