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| 內容簡介： |
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这是一本学术专著，作者通过列举大量的事实和图表，将英国、美国和*国的开放式基金比较的情况、法律规范及相关的问题进行了比较和梳理，并提出了可能的互补方案。这是作者多年的研究成果，经过作者的深入浅出的分析和讲解，读者可以很清楚的了解中美英三国的开放式基金的法律制度的异同。
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| 關於作者： |
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姚誉作，Yao?Yuzuo?is?an?associate?professor?at?Faculty?of?Law?of?Central?China?Normal?University.?She?studied?Chinese?Law?at?Beijing?Technology?and?Business?University,and?completed?her?first?LLM?Master?of?Laws?in?Common?Law?at?the?Chinese?University?of?Hong?Kong?and?her?sec
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| 目錄：
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List?of?Abbreviation
Preface
Introduction
Chapter?1The?Nature?and?Importance?of?Open-Ended?Funds
1.The?Nature?of?Open-Ended?Funds
1.1The?Nature?of?Open-Ended?Funds?in?the?UK
1.2The?Nature?of?Open-Ended?Funds?in?the?USA
1.3The?Nature?of?Open-Ended?Funds?in?China
2.The?Importance?of?Open-Ended?Fands?in?the?Modem?World
Chapter?2Conflicts?of?Interest
1.The?Nature?of?Conflicts?of?Interest?within?Open-Ended?Funds
1.1Divergence?of?Interest?in?Corporate?Governance
1.2Market?Behaviours?Tainted?by?Conflicts?of"?Interest?in?the?Financial?Markets
2.Possible?Remedies
2.1Enhanced?Corporate?Governance
2.2Enhanced?External?Supervision
Chapter?3Regulation?of?Open-Ended?Funds?in?the?UK
1.Internal?Corporate?Governance?in?the?UK
1.1Fiduciary?Duty?Imposed?by?Case?Law
1.2General?Duties?of?Trustees?Imposed?by?Statutes
1.3Chinese?Wall
1.4Separation?of?Business
1.5General?Meeting?of?Fund?Holders
1.6Disclosureo76
2.External?Supervision?in?the?UK
2.tThe?Limitation?of?Objects?of?Open-Ended?Funds''?Investment
2.2Market?Abuse
2.3Regulator
Chapter?4Regulation?of?Conflicts?of?Interest?in?the?USA
1.The?Board?of?Directors
1.1Election?of?Directors
1.2Independent?Directors
2.Fiduciary?Duties
2.1Fiduciary?Duties?under?Section?36?of?the?Investment?Company?Act?1940
2.2Lack?of?Guidance
2.3Cases?Corresponding?to?Section?36
3.Restrictions?of?Affiliated?Transactions
3.1Who?Are?Affiliated?Persons?of?A?Registered?Investment?Company?
3.2Affiliate?Transactions?with?Affiliated?Persons?Themselves
3.3Joint?Transactions?with?Affiliated?Persons
3.4Brokerage?or?Agency?Transactions?with?Affiliated?Persons
3.5Underwriting?by?Affiliated?Persons
4.Regulation?of?Insider?Trading?Personal?Trading
4.1The?Definition?of?Insider?Access?Person
4.2Regulation?of?Personal?Trading
4.3Report?Insiders''?Personal?Securities?Holdings?and?Transactions
4.4Review?of?Reports
4.5Pre-Clearance?of?Investment?in?IPOs?and?Limited?Offerings
4.6Recordkeeping?and?Public?Disclosure
4.7The?SEC''s?Action
Chapter?5Internal?Corporate?Governance?of?Open-Ended?Funds?in?China?and?Proposals?for?Reform
1.Ownership?Structure
1.1Drawbacks?of?the?Existing?Ownership?Structure
1.2Should?Banks,?Securities?Companies?or?Trust?Companies?Be?the?Holding?Shareholders?of?the?Fund?Management?Company?
1.3Which?Type?of?Ownership?Structure?Is?Better?for?An?Efficient?and?Reliable?Legal?Form?of?open-Ended?Fund?in?China,?Ownership?Concentration?or?Ownership?Dispersion?
1.4Conclusion
2.Independent?Directors
2.1Ratio?of?Independent?Directors
2.2Reviewing?the?Management?Fees
2.3Reviewing?the?Affiliate?Transactions
3.Chinese?Wall
4.Affiliate?Transactions
4.1The?Definition?of?Affiliated?Persons
4.2Restrictions?on?Affiliate?Transactions
5.Legal?Remedies
5.1Fund?Holder''s?Direct?Action
5.2Fund?Holder''s?Derivative?Action
5.3The?Function?of?the?General?Meeting?of?the?Fund?Holders
Chapter?6External?Supervision?of?Open-Ended?Funds?in?China?and?Proposals?for?Reform
1.The?Limitation?of?Objects?of?Open-Ended?Funds''?Investment
1.1Limitations?on?the?Types?of?Investment?Objects
1.2Limitations?on?the?Proportion?of?Investment
1.3Proposal?for?Limitation?on?the?Amount?of?Investment?Capital?of?Open-Ended?Funds
2.Market?Abuse
2.1Insider?Dealing
2.2Divulging?Inside?Information
2.3Counseling?Others?to?Purchase?or?Sell?Securities
2.4Market?Manipulation
2.5Liabilities
2.6Other?Market?Abusive?Measures?Such?as?Herding
3.Regulator
3.1Investigation?by?the?CSRC
3.2A?Brief?Image?of?the?Regulator?in?the?Future
Chapter?7Conclusion
Bibliography
Acknowledgements
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