投资基金制度及其管理系统的研究
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摘要
本文综合运用历史发展研究与逻辑发展研究相结合、基础理论性研究与应用性研究相结合、定性研究与定量研究相结合、实证研究与规范研究相结合以及复杂系统分析等方法,以探索世界投资基金制度的历史变迁及其规律性特征为全文展开的底衬,基于对投资基金本质特征的系统分析,以所构建的投资基金制度理论体系的架构为理论支撑,以揭示投资基金所蕴涵的现代广义信托关系为贯穿本文的脉络主线和突破之瓶颈,以所构建的投资基金制度实施的综合管理系统为依托,最后了系统阐述了现阶段发展我国投资基金的制度安排与路径选择方面的对策和建议。具体说：
(1)基于对投资基金本质特征全面分析,就投资基金制度涉及的诸多理论,首次从框架上尝试性地进行了系统地梳理、归纳和设计,构建了投资基金制度理论的基本架构与核心结构,诠释了投资基金制度理论的学科范畴和研究对象,为国内投资基金制度的培育和完善提供了理论研究方面的思维导图。
(2)基于信托理论边界的扩展和现代广义信托关系的全新界定,以深刻剖析和揭示投资基金所蕴涵的现代广义信托关系为依托,构建了投资基金制度实施的综合管理系统,为我国投资基金制度创新及路径选择的践行提供了新的视角。
(3)基于对世界投资基金制度变迁进程及变迁规律基本特征的考察和研究,国际基金业发展的启示和借鉴、特别是这次全球金融危机留给世人的教训(包括以案例形式构建的美国共同基金增长动力模型推导出的相关结论),以及我国投资基金发展进程中的经验教训,本文立足国情,从战略管理层面系统设计并阐述了现阶段我国投资基金制度安排的总体思路暨应遵循的基本原则,以及从实施操作层面比较详尽地策划并提出了国内投资基金制度创新的路径选择暨应采取的相关措施,为管理层科学决策和创新基金监管思路,抛砖引玉。
Using methods such as combination of historic development research and logic development research, combination of basic theoretical research and applicable research, combination of qualitative research and quantitative research, combintion of positive research and normal research, and complex system analysis, etc., with exploration of historical transformation and law characteristics of world investment fund institution as basis of development of the article, based on systematic analysis of investment fund essential features, with structure of constructed investment fund institution theoretical system as theoretical support, with revealing modern generalized trust relationship contained in investment fund as the sequence of ideas and bottle neck to break through, with comprehensive management system implemented by constructed investment fund institution as the support, this article systematically elaborates the counterneasures and suggestions on systematic arrangement and route selection to develop our investment fund at present stage. To be concrete:
(1) Based on general analysis of investment fund essential features, regarding many theories concerning fund institution, it has made systematical carding, conclusion, and design from the system for the first time, constructed the basic structure and core structure of investment fund institution theoretical system, explained the subject category and research object of investmnet fund institution theory, provided a mindmap in respect of theoretic research for fostering and perfection of domestic investment fund institution.
(2) Based on expansion of trust theory border and brand-new limitation of modern general trust relationship, with deep analysis and revelation of modern general trust relationship contained in investment fund as the support, it constructs comprehensive management system implemented in investment fund institution, provides new point of view for innovation of our investment fund institution and practice of route selection.
(3) On the basis of investigation and research of basic characteristics of global investment fund institution transformation process and rule, revelation and reference of international fund industry development, especially the lesson of this global financial crisis to people (including relative conclusion derived from US common fund growth momentum model in the form of a case), and experience and lessons in our investment fund development process, basing upon national conditions, from level of strategic management, it systematically designs and explains the general train of thought and basic principle to follow of our investment fund institution arrangement in the present stage, from level of implementation and operation, it plans and puts forward the route selection of domestic investment fund institution innovation and relevant measures to take relatively in detail, throws away a brick in order to get a gem for scientific decision of management and innovation of fund supervision thought.
(1)基于对投资基金本质特征全面分析,就投资基金制度涉及的诸多理论,首次从框架上尝试性地进行了系统地梳理、归纳和设计,构建了投资基金制度理论的基本架构与核心结构,诠释了投资基金制度理论的学科范畴和研究对象,为国内投资基金制度的培育和完善提供了理论研究方面的思维导图。
(2)基于信托理论边界的扩展和现代广义信托关系的全新界定,以深刻剖析和揭示投资基金所蕴涵的现代广义信托关系为依托,构建了投资基金制度实施的综合管理系统,为我国投资基金制度创新及路径选择的践行提供了新的视角。
(3)基于对世界投资基金制度变迁进程及变迁规律基本特征的考察和研究,国际基金业发展的启示和借鉴、特别是这次全球金融危机留给世人的教训(包括以案例形式构建的美国共同基金增长动力模型推导出的相关结论),以及我国投资基金发展进程中的经验教训,本文立足国情,从战略管理层面系统设计并阐述了现阶段我国投资基金制度安排的总体思路暨应遵循的基本原则,以及从实施操作层面比较详尽地策划并提出了国内投资基金制度创新的路径选择暨应采取的相关措施,为管理层科学决策和创新基金监管思路,抛砖引玉。
Using methods such as combination of historic development research and logic development research, combination of basic theoretical research and applicable research, combination of qualitative research and quantitative research, combintion of positive research and normal research, and complex system analysis, etc., with exploration of historical transformation and law characteristics of world investment fund institution as basis of development of the article, based on systematic analysis of investment fund essential features, with structure of constructed investment fund institution theoretical system as theoretical support, with revealing modern generalized trust relationship contained in investment fund as the sequence of ideas and bottle neck to break through, with comprehensive management system implemented by constructed investment fund institution as the support, this article systematically elaborates the counterneasures and suggestions on systematic arrangement and route selection to develop our investment fund at present stage. To be concrete:
(1) Based on general analysis of investment fund essential features, regarding many theories concerning fund institution, it has made systematical carding, conclusion, and design from the system for the first time, constructed the basic structure and core structure of investment fund institution theoretical system, explained the subject category and research object of investmnet fund institution theory, provided a mindmap in respect of theoretic research for fostering and perfection of domestic investment fund institution.
(2) Based on expansion of trust theory border and brand-new limitation of modern general trust relationship, with deep analysis and revelation of modern general trust relationship contained in investment fund as the support, it constructs comprehensive management system implemented in investment fund institution, provides new point of view for innovation of our investment fund institution and practice of route selection.
(3) On the basis of investigation and research of basic characteristics of global investment fund institution transformation process and rule, revelation and reference of international fund industry development, especially the lesson of this global financial crisis to people (including relative conclusion derived from US common fund growth momentum model in the form of a case), and experience and lessons in our investment fund development process, basing upon national conditions, from level of strategic management, it systematically designs and explains the general train of thought and basic principle to follow of our investment fund institution arrangement in the present stage, from level of implementation and operation, it plans and puts forward the route selection of domestic investment fund institution innovation and relevant measures to take relatively in detail, throws away a brick in order to get a gem for scientific decision of management and innovation of fund supervision thought.
引文
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