完善我国QFII法律制度研究.pdfVIP

中 文 摘 要 引进合格境外机构投资者（QFII）是对外开放和吸引外资方针的延续和拓展，这无疑 为中国资本市场注入了新的血液，给市场带来活力，同时作为成熟市场代表的合格境外机 构投资者的进入也增加了广大国内中小投资者的投资信心，并有助于营造价值投资理念和 理性投资的市场氛围，抑制境外投机性游资对本国经济的打击。由于中国证券市场是“新 兴+传统”的市场，证券市场政策法制面临一系列挑战。因为一些历史原因，出生就存在 着许多政策、法规、体制等方面的缺漏，如引入QFII制度潜在的风险、证券市场法律法规 不健全、市场监管法则缺失等。因此，在引入QFII的过程中，如何通过建立和完善制度， 从源头上切断潜在风险的发生，进而解决存量的不规范问题，是我们当前所面临的重大课 题。基于以上思考，本论文从金融法、证券法的角度，在QFII 制度下如何完善我国证券市 场的法制环境进行了系统研究和分析，并做出了科学的可行性的构想，诸如如何规范制度 建设，尽快填补法律盲点，包括法律监管机制、管理机制、市场参与者的行动规范等，从 而加快我国证券市场的运行规范与国际接轨，最大限度降低风险，促进证券市场的全面国 际化。本论文突破了此前学术著作对QFII制度研究往往只侧重于经济学、管理学层面的对 策探讨，在某种程度上，走出了该制度所面临的大量的法律问题又无法应对的尴尬境地。 关键词： QFII 潜在风险 对策 3 Abstract The introduction of qualified foreign institutional investors is an extension of the principle of opening to the outside world and to attract foreign investment and expand, this will undoubtedly inject new blood into Chinas capital market, bring vitality to the market. Meanwhile, as a mature market access on behalf of the qualified foreign institutional investors also increased the majority of the small and medium-sized investors in the domestic investment trust, and tohelp createthe market value ofinvestment ideas and rationalinvestment atmosphere, Inhibit foreign speculative capital with the blow on the domestic economy. Chinas securities market is a new-traditional market; the market is facing a series of legal challenges policy. Because of some historical reasons, there are many birth policies and regulations, such as the systems flaws, the introduction of the QFII potential risk, the market is not perfect laws and regulations, market regulation and legislation such as missing For instance. Therefore, the introduction of the QFIIprocess, how toestablish and perfect the system. Cut off from the source of potential risks, and then solve the problems of the stock. At present, we are facing a major iss