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新修订的《证券投资基金法》在制度与机制上实现了诸多创新:将私募证券投资基金纳入其调整范围之内;增加了公司型和合伙型基金的组织形式;优化了基金管理公司的治理结构;对基金老鼠仓采用了法律管制主义的“疏”的预防与规制办法;加大了对公募基金投资者的保护力度;将基金管理公司的股东、实际控制人、基金中介机构纳入证券监管的对象范围内;理顺了基金监管机构的功能定位、监管方式和监管规则;细化了违反《基金法》规定的法律责任。但是,在证券投资以外的基金没有纳入《基金法》的调整范围之内、缺乏对契约型基金以外的其他基金形式运作的具体规定、缺乏对基金从业人员及其利益相关人证券投资行为管理制度标准的规定或授权、没有建立以持有人利益为基础的基金治理机构等方面还存在一定不足。
The newly revised “Securities Investment Funds Law” has achieved a number of innovations in systems and mechanisms: including private equity investment funds within its scope of adjustment; increasing the organizational form of corporate and partnership funds; and optimizing the governance of fund management companies Structure; the legal system of the use of the mouse control warehouse “sparse ” prevention and regulation measures; increase the protection of public funds investors; the fund management company’s shareholders, the actual controller, the fund intermediaries into Securities supervision of the object range; rationalization of the fund regulatory agencies, functional positioning, regulatory and regulatory rules; detailed in violation of “Fund Law” legal liability. However, funds other than securities investment are not included in the adjustment of “Fund Law”, lack of specific regulations on the operation of other fund forms except for contractual funds, and lack of a system of securities investment management for fund practitioners and their stakeholders There are still some shortcomings in the aspects of standard stipulations or authorizations and the fund governance institutions based on the interests of the holders.