中國大陸對合格境外機構投資者制度監管之研究

淡江大學機構典藏 > 商管學院 > 國際企業學系暨研究所 > 學位論文 > Item 987654321/51646

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题名:	中國大陸對合格境外機構投資者制度監管之研究
其它题名:	The study of qualified foreign institutional investor system regulation in mainland China
作者:	顏正貿;Yen, Cheng-mao
贡献者:	淡江大學國際商學碩士在職專班林宜男;Lin, Yi-nan
关键词:	合格境外機構投資者;QFII制度;監管;託管人;Qualified Foreign Institutional Investors;QFII system;Regulation;Trustee
日期:	2010
上传时间:	2010-09-23 15:35:37 (UTC+8)
摘要:	中國大陸目前證券市場對外開放以穩健成長為目標，在市場上開始加入了境外機構投資者參與市場之交易。在2002年以《合格境外機構投資者境內證券投資管理暫行辦法》之規範，在市場中建立起管理制度。對於中國大陸證券市場投資環境的開放與管制，QFII制度是過渡性的開放資本市場的政策。市場的開放也必需建立良善的監管制度來配合，因此本研究以目前中國大陸對合格境外機構投資者之監管為研究主題。經由本研究分析中國大陸未來國際化的證券市場發展，對於境外投資機構之監管與開放並行給予幾項結論：一、建立預警觀測指標；二、國際監管機構及金融自律組織之合作；三、中國大陸監管機構間之權責協調；四、提升託管銀行之服務與其協助監管之能力；五、確保託管資產獨立性；六、落實款券兩訖之交割；七、培育國際證券金融之人才；八、在加強外匯管制下，逐步增加更多合格投資者市場准入之機會。九、健全市場資訊之揭露。 In China, the current goal for securities market is stable growth. The foreign institutional investors are allowed to participate in its stock market transactions. In 2002, the management system was established in the market under the norm of "Qualified foreign institutional investors Interim Measures on Management of Domestic Securities Investments". QFII system is a transitional policy to open the capital market for China to open and control its investment environment of securities market. It also needs to create a flawless supervising system open a market, therefore, this study focus on the current supervising system on qualified foreign institutional investors in China. According to this research, we analyze the future internationalized securities market development for China, and there are several conclusions for opening and supervising the foreign institutional investors in securities market: 1. create an early warning signal indicator 2. the cooperation of the international regulatory organizations and financial self-regulatory organizations 3. the coordination of China''s regulatory agencies 4. to increase the trustee bank’s service and ability for helping on supervising 5. ensure the independence of managed assets 6. implementation of securities and money settlement 7. foster the international financial professionals 8. to strengthen the control of foreign exchange and provide more opportunities for qualified foreign institutional investors 9. the integrity of disclosure of market information.
显示于类别:	[國際企業學系暨研究所] 學位論文

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