Dissertation
Dissertation > Political, legal > Legal > Chinese law > Financial Law > Securities and Management Act

The Information Disclosure System of Securities Investment Fund

Author FengQinWei
Tutor DaiZhongChuan
School Huaqiao University
Course Legal
Keywords Securities investment funds the principle of truthfulness theprinciple of accuracy
CLC D922.287
Type Master's thesis
Year 2013
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The information disclosure system of securities investment funds exists in thevarious segments of the securities investment fund, affect the stability and prosperityof the industry, also produced a significant impact on the interests of the investors.China has been built a system of legal norms of the information disclosure system ofsecurities investment fund. There are still many problems in the legal system and thelegal liability system and the supervision system. The thesis tries to explore how toimprove the information disclosure system of securities investment funds from theaspects of securities investment funds in the information disclosure system.In addition to the introduction and the conclusion. The paper is divided into fourchapters.The first chapter is combing the basic theory of information disclosure system ofthe securities investment fund. Analysis the doctrine of the legal definition of thesecurities investment funds, the history, and the theoretical basis. Summarize theconcept and characteristics of the information disclosure system of securitiesinvestment funds, and the theoretical basis.The second chapter analyses the basic structure of the information disclosuresystem of securities investment funds. There are three main sections, such as the fundmanagers, the fund custodians and other obligations. The object is the information offund. Information disclosure rules including the establishment of the fund raisingstage, the management of the operational phase of the fund and the significantincidents of the fund. The basic principle including the principle of completeness,accuracy and authenticity.The third chapter is a summary of the existing problems in the information disclosure system of securities investment fund. There has long been a low efficiencyof supervision of professional organizations in the regulatory system, lacked theauthority of self-regulatory. The government did not grasp the issues such as theprinciple of moderation. China is still not complete build the compensationmechanism of civil liability, and lacking of adequate legal basis. In legal norms, theinformation disclosure of related party transactions are not perfect in laws andregulations and the costs and expenses and the risk information.The fourth chapter tries to give some recommendations to improve theinformation disclosure system of securities investment funds. In the regulatory andsupervisory, it should improve the efficiency of the supervision of professionalorganizations, and establish a authority of the self-regulatory and build theappropriate regulatory mechanisms of the government. In system of legal liability,China should build and improve the litigation system of the fund share holders,improve the mechanism of civil compensation. In legal norms China should pass thelegislation to strengthen the information disclosure of related party transactions, showthe costs and expenses of disclosure of information, and to strengthen the disclosureof the risk information.

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