我国基金市场“老鼠仓”的监管问题  

The Regulatory Problem of China's Fund Market "Rat Trading"

作　　者：彭少辉 

机构地区：[1]上海市松江区人民监察院公诉科,上海201620

出　　处：《上海市经济管理干部学院学报》2013年第4期38-45,共8页Journal of Shanghai Economic Management College

基　　金：2010年度国家社科基金项目"近年金融领域刑事司法状态的实证研究"阶段性成果(项目号:10BFX042)

摘　　要：近年来,金融机构纷纷开展了投资理财或客户资产管理业务,将客户资金投资于证券、期货等金融产品是代客棱资理财和客户资产管理的的主要方式之一。由于对基金管理者忠实义务的监管不严、基金"老鼠仓"具有低风险高收益的特质以及现有公募基金管理体制问题等原因,当下证券投资基金"老鼠仓"愈演愈烈。必须建立健全投资基金监管体系,提高证券市场监管水平,完善基金公司法人治理,健全证券投资基金的治理结构,以达到抑制甚至杜绝"老鼠仓"的乱象的目的。In recent years, financial institutions have carried out the investment or the customer asset manage- ment business, the customer funds to invest in securities, futures and other financial products is one of the valet financial investment and the main way of customer asset management.Because of the fund managers of the fiduciary duty of lax supervision, fund “rat trading” has characteristics of low risk and high return, and has the problems of public offered fund management system, the securities investment fund “rat trading” intensi- fled.We must establish and perfect the supervision system of investment fund, raise the level of supervision of securities market, improve the fund corporate governance, perfect the governance structure of securities invest- ment fund, to suppress or even eliminate the “rat trading” chaos

关 键 词：金融市场 “老鼠仓”法律监管公募基金 

分 类 号：F832.5[经济管理—金融学]