穿透式监管在资管业务中的法制化研究  

Research on Legalization of Penetrating Supervision in Asset Management Business

作　　者：张婧 ZHANG Jing(School of Marxism,Shanxi University of Finance and Economics,Taiyuan 030006,China)

机构地区：[1]山西财经大学马克思主义学院,山西太原030006

出　　处：《经济问题》2022年第10期66-72,共7页On Economic Problems

摘　　要：首先介绍当前我国对穿透式监管的相关规定,对穿透式监管在资管业务中的多重层次进行分析。而后分别论述功能性监管视阈下的资管业务穿透式监管、资管业务穿透式监管的协调与分工和穿透式监管保障投资者适当性的法制化问题。随后提出了穿透式监管法制化的具体途径,指出应该健全穿透式监管法律法规体系、协调司法监管化视阈下的资管合同条款文义与法律关系的判定、从一致性角度出发协调金融监管与金融司法之间的关系。最后,从完善数据基础建设和信息披露机制等方面为穿透式监管在资管业务中的法制化规划了保障机制。This paper first introduces the relevant provisions of penetrating supervision in China,and analyzes the multiple levels of penetrating supervision in the asset management business.Then it discusses the issues of the penetrating supervision of asset management business,the coordination and division of the penetrating supervision of asset management business,and the legalization of the penetrating supervision to ensure the appropriateness of investors under the functional supervision.Finally,the paper puts forward the specific approach to the legalization of penetrating supervision,and points out that we should perfect the legal system of penetrating supervision,coordinate the judgment of the legal relationship between the terms of asset management contract and the legal relationship under the perspective of judicial supervision,and coordinate the relationship between financial supervision and financial justice from the perspective of consistency.

关 键 词：穿透式监管 资管业务 法制化 

分 类 号：F832.2[经济管理—金融学]