资产管理人的利益维护义务及其规制框架  

Asset Managers Duty of Interest Protection and Its Regulatory Framework

作　　者：梁君 Liang Jun

机构地区：[1]中国政法大学民商经济法学院 [2]南京师范大学法学院

出　　处：《法治现代化研究》2024年第3期151-168,共18页Law and Modernization

摘　　要：对资产管理关系的有效规制以其私法定性为基础。因循不同法律传统,英美法系国家倾向于从信托角度理解资产管理,而大陆法系国家则更习惯于从合同角度出发。与此相应,英美等国法律更看重管理人的信义义务,而德国、瑞士、奥地利等国法律则更强调受托人的利益维护义务。本文以资产管理人私法与监管法上的利益维护义务为中心,推究典型大陆法系国家资产管理业务的规制框架。在此基础上,反思我国资产管理业务的“上位法”之争,探析私法与监管法的完善路径,以期为我国资产管理业务法律框架的建立健全提供启示。Effective regulation of asset management relationships is based on their characterization in private law.Following different legal traditions,common law countries tend to understand asset management from the perspective of trust,while continental law countries are more accustomed to approaching it from a contractual standpoint.Correspondingly,the laws of countries like the United Kingdom and the United States place greater emphasis on the fiduciary duties of managers,while the laws of countries such as Germany,Switzerland,and Austria emphasize the duty of interest protection of trustees.This article focuses on the duty of interest protection of asset managers in both private law and regulatory law,exploring the regulatory framework of asset management business in typical continental law countries.On this basis,it reflects on the debate over the“superordinate law”of asset management business in China,examines the pathways for improving private law and regulatory law,and aims to provide insights for the establishment and improvement of the legal framework for asset management business in China.

关 键 词：资产管理 信托模式 委托模式 事务处理合同 利益维护义务 

分 类 号：D922.28[政治法律—经济法学]