中国开放式基金监管模式的现状及优化

Present sitiuation and optimum of open-end funds' regulation pattern in china

开放式基金作为证券市场上的一个投资品种 ,其“受人之托、代人理财”的运作模式 ,在各国都成了中小投资者的理想投资工具。但作为机构投资者 ,其不合规的行为也会引起证券市场的巨大波动 ,因此 ,各国都对开放式基金采取了严格的监管措施 ,并形成了一定的监管模式。本文从制度体系、法律体系和组织体系三方面论述了中国现行开放式基金监管模式的基本框架 ,并在对其有效性进行评价的基础上 。

Because of the special running pattern of trusting clients and financing for them,the open-end funds,as a kind of new investing instrument in security market,are becoming popular to the majority of investors all over the world.The open-endfunds,however,as the institutional investors,may cause great fluctuation of the security market.For this part,the open-end funds have been regulated sincerely by every country,which has also built many regulation patterns.This paper,organized by system,laws and structure,discussed and evaluated the present situation of the open-end funds' regulation model in China.At the end of the paper.the author put forth some optimizing and mending schemes.