证券投资基金管理人与基金管理公司的法律辨析与现行立法检讨  

The Legal Analysis and the Review of Current Legislation about Securities Investment Fund Managers and Fund Management Company

作　　者：奚庆[1,2] 

机构地区：[1]南京大学法学院 [2]南京师范大学法学院,讲师。南京210093

出　　处：《南京大学法律评论》2010年第1期145-155,共11页Nanjing University Law Review

基　　金：南京师范大学青年人才培育项目"我国证券投资基金管理人内部治理结构研究"的阶段成果。项目编号:0909026。

摘　　要：证券投资基金管理人在基金法律关系中具有核心地位与绝对权利,是基金法制的中心与重点。依法成立的基金管理公司是基金管理人的法定形式;但是,基金管理公司须通过核准方可担任基金管理人且基金业务并非基金管理公司的唯一业务,两者不能简单等同。因此,在对基金管理公司进行法律规制与研究时,应充分考虑其所参加的各类法律关系的特征与需求。但现行基金管理公司的立法与研究并未区分上述两者之间的差异,而将基金管理公司等同于基金管理人加以规范,存在严重的局限性并导致一定程度的不公平,应当予以准确定位与有效调整。Securities investment fund managers,who is at the core position and has an absolute right in the fund legal relationship,is the focus of the legal system of fund.The fund management company established by law is the legal form of fund managers,but fund management companies have to go throught approad before they can act as fund manages and operations of the fund is not the only business of fund management companies,so the two can not be simply equated with.Therefore,when we talk about the legal regulation of the fund management company,we should take full account of their participation in various types of characteristics and needs of the legal relationship.But,the current legislation and research doesn't distinguish the difference between the above-mentioned.Put fund management company equal to fund managers has serious limitations exist and will lead to a certain degree of inequity.So we should give them a accurate positioning and effective regulation.

关 键 词：基金管理人 基金管理公司 基金业务 定位 

分 类 号：F832.51[经济管理—金融学]