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开放式基金作为证券市场上的一个投资品种 ,其“受人之托、代人理财”的运作模式 ,在各国都成了中小投资者的理想投资工具。但作为机构投资者 ,其不合规的行为也会引起证券市场的巨大波动 ,因此 ,各国都对开放式基金采取了严格的监管措施 ,并形成了一定的监管模式。本文从制度体系、法律体系和组织体系三方面论述了中国现行开放式基金监管模式的基本框架 ,并在对其有效性进行评价的基础上 ,提出了模式的优化和改进方案
As an investment product in the securities market, the open-end fund has become an ideal investment tool for small and medium-sized investors in all countries through its mode of operation of “entrusted by others and financial management by generation”. However, as an institutional investor, its non-compliance behavior will also cause tremendous fluctuations in the securities market. Therefore, all countries have adopted strict regulatory measures on open-end funds and have formed certain regulatory models. This article discusses the basic framework of the current regulatory model of open-end funds in China from three aspects: institutional system, legal system and organizational system. Based on the evaluation of its effectiveness, the paper proposes the optimization and improvement of the model