上海私募投资基金发展的研究.docVIP

目 录 摘要 1 Abstract 1 绪论 2 1 私募投资基金概述 2 1.1 私募投资基金概念 2 1.2 私募投资基金分类 2 2 上海私募投资基金发展概述 2 2.1 我国私募投资基金发展历程 4 2.2 上海私募投资基金发展现状 4 3 上海私募投资基金发展中存在的问题 3.1 缺乏合法地位及有效监管体系 3.2 资金来源单一且市场规模有待开发 3.3 运作机制与风险资本退出机制不健全 3.4 基金管理水平不高且存在道德风险 4 建议 4.1 完善相关法律法规并完善监管制度 4.2 引导不同类资金投入到上海私募基金 4.3 建立有效运作及退出机制，加快发展多层次资本市场 4.4 培养专业人才并充分利用上海人力资源 参考文献 致谢 摘要 随着我国金融市场的发展不断完备，资本市场逐步建立和完善，股票基金交易日趋活跃，私募投资基金成为了一种新兴的融资方式。上海作为我国经济大省，在资本市场上也非常活跃，研究上海私募投资基金的情况将有助于了解上海资本市场的发展及走向。 本文首先详细介绍了私募投资基金的含义以及种类，然后详细叙述了上海私募投资基金发展的背景及现状，分析私募投资基金存在的风险及制约其发展的相关因素，从而根据分析结果找出防范风险因素的措施，对上海如何发展私募投资基金提出了一些建议，以达到拓展融资渠道，发展资本市场的目的。 关键词：私募投资；基金；上海；发展研究 Abstract With the increasing perfection of the financial market in our country, the capital market has been gradually established and perfected and the deal of stock and fund becomes active, eventually private equity investment fund has already secured its place as a newly-born financing method. As a developed economy entity, Shanghai performs very actively in capital market. It focus on studying the situation of private equity investment fund, which contributes to the understanding of the development and trend of the capital market in Shanghai To start with, this paper gives an introduction of the meaning and categories of private equity investment fund. Then, it delivers a detailed the background and current condition of the development of private equity investment fund in Shanghai, and also reveals the existed risks and the factors which inhibit its moving forward. Finally it comes up with measures to avoid those risks base on the results of the analysis. Besides, it also shows some advices for private equity investment fund to broaden its financing approaches and improve the capital market. Keywords: private equity investment; fund; Shanghai 绪论 随着我国市场经济的深入发展和券商管理业务的开展，私募投资基金在我国逐渐成长起来，对证券日益发展的证券市场的影响越来越深，并成为各界人士关注的焦点之一。私募投资基金简称“私募基金”，在我国的发展还尚未成熟，但事实上已对我国经济的发展起着非常重要的促进作用，然而当前市场上既有以信托方式出现的已经公开化的私募基金，也有大量是以委托理财等不明确形式存在的私募基金，更有一些是借私募之名非法集资的“假私募基金”，并且高风险、高收益、高门槛，