中国开放式基金监管模式的现状及优化

Present Situation and Optimization of Open-end Funds Regulation Pattern in China

中国现行的开放式基金监管体制属于集中型监管模式 ,具有集中型模式的基本特点 ,呈现鲜明的政府主导性。中国开放式基金的监管模式目前仍有许多不尽人意的地方 ,如集权性、一元化、高权威性、高独立性 ,现行的法律体系已不能适应开放式基金发展的需要 ,应在制度上。

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 securities market, are becoming popular to the majority of investors all over the world. The open end funds, however, as the institutional investors, may cause great fluctuation of the securities market. For this part, the open end funds have been regulated sincerely by every country, which has also built many regulation patterns. This paper discusses and evaluates the present situation of the open end funds regulation model in China. At the end of the paper, the author puts forth some optimizing and mending schemes.