On Civil Proceedings System in US Collective Investment Schemes Control Act
- 经济学院－已发表论文 
保护基金持有人权益乃现代基金法制之灵魂。面对基金管理人侵害基金利益的种种不当行为,民事诉讼无疑将成为基金持有人维权首选的法律武器。作为全球基金业最发达的国家,美国正是通过构建一套完整可行的民事诉讼机制以实现对受害基金持有人的救济。这种救济包括《投资公司法》上的明示诉讼、判例法的默示诉讼及SEC的诉讼援助。为完善我国基金法以更好地追究基金管理人的违法责任,今后我国修订基金立法应有必要对之加以借鉴。The soul of the modern mutual fund codes is to ensure the rights of shareholders. Obviously, the civil responsible mechanism is the priority legal weapon that fund shareholders turn to for the purpose of safeguarding themselves when their rights are being threatened. As the most developed country in fund industry, the US resorts to implementing a sound and practical civil response mechanism for the purpose of investor protection. The remedy is realized through expressed and implied action as well as litigation assistance by the SEC. The American practice might provide us with positive reference in terms of optimizing mutual fund act in the area of enforcing the accountability of fund managers.