论我国合格投资者法律制度的完善——从法定条件到操作标准  

The Improvement of Qualified Investors Institution in Terms of Mandatory Requirements and Operating Guidelines

作　　者：梁清华[1] 

机构地区：[1]对外经济贸易大学法学院,北京100029

出　　处：《证券市场导报》2015年第2期72-78,共7页Securities Market Herald

基　　金：2013年度国家法治与法学理论研究项目"我国私募基金法律制度的构建研究"(批准号13SFB2034)阶段性成果

摘　　要：合格投资者是私募法律制度的核心。我国目前合格投资者的立法虽然规定了法定条件,但缺乏统一、科学的操作标准。完善我国合格投资者制度的重中之重是科学设定统一的合格投资者标准。借鉴美国和英国的经验,应当区分不同的合格投资者,对不同的合格投资者分别设置不同的标准,对合格投资者的总数进行一定限制,同时对合格个人投资者的认定设置相应程序。Qualified investors play a central role in securities private placement. The rules for investor qualification in Chinese law are fragmented and scattered, which results in the current chaos of investor qualification standards. Improving and unifying the standards for qualified investor is a priority for all. To that purpose, American law and British law are insightful. Varying standards should be established on the basis of a prior investor classification, coupled with the limits on total number of qualified investors and the procedures for individual investor qualification.

关 键 词：私募 合格投资者 法定条件 操作标准 

分 类 号：F832.5[经济管理—金融学]