联系我们

论文查询结果	返回搜索

论文编号：	14911
作者编号：	2320223852
上传时间：	2024/12/6 11:20:31
中文题目：	X证券投资私募基金公司内部控制研究
英文题目：	Research on Internal Control of X Securities Investment Private Equity Fund Company
指导老师：	张继勋
中文关键字：	私募基金；证券投资；内部控制
英文关键字：	Private fund；Securities investment；Internal Controls
中文摘要：	近年来，随着金融市场的发展和法律法规的不断健全，基金规模持续增长， 基金数量的繁荣使得投资人开始逐渐关注各种各样的投资模式，投资者对资产配的强烈需求和对二级市场的强烈关注，促使私募证券投资基金蓬勃发展。虽然海外私募证券投资基金已有较长的发展历史，但我国私募证券投资基金的规模在全市场的基金中占比很小，其管理制度、商业模式还处于不断健全的阶段。 本文所研究的X公司正是在此背景下成立的一个小型民营证券私募基金公司。在其创立、发展过程中，遇到了诸多亟待优化的难题，尤其是关于内控制度的建设问题尤为突出。 基于上述问题，本文运用文献研究法、案例研究法、实地访谈法，结合国内外相关的理论基础，试图寻找出X公司所面临的内部控制方面的种种问题，并深究其背后的原因，从而找出恰当的解决方案。本文按照我国内部控制的五要素，分别从内部环境、风险评估、控制活动、信息与沟通、内部监督五个方面，有条理地寻找X公司所存在的问题，并经过一系列分析，对所发现的问题提出针对性的意见或建议，以完善X公司整体的内控制度，提升公司的治理水平。 当前针对私募证券投资基金的研究主要集中在在规模、结构等绩效研究上，而本文则是聚焦于证券类私募基金的内控管理制度，对其存在的问题进行了深入研究，并提出了解决方案。希望通过X公内控优化的研究，提升X公司的投资管理能力，也为类似的机构提供借鉴。
英文摘要：	In recent years, with the development of the financial market and the continuous improvement of laws and regulations, the scale of funds has continued to grow, and the prosperity of the number of funds has made investors gradually pay attention to a variety of investment models. Also, investors' strong demand for asset allocation and strong attention to the secondary market have prompted private equity investment funds to flourish. Although overseas private securities investment funds have a long history of development, the scale of China's private securities investment funds accounts for a small proportion of the funds in the whole market. The X company studied in this paper is a small private securities private equity fund company established under this background. In the process of its establishment and development, it has encountered many problems that need to be optimized, especially the construction of the internal control system. Based on the above problems, this paper uses literature research, case study and field interviews to try to find out the various internal control problems faced by Company X, and deeply investigate the reasons behind them, so as to find appropriate solutions. This article systematically identifies the issues present in Company X by examining the five elements of internal control in accordance with the five aspects of our country's internal control framework: internal environment, risk assessment, control activities, information and communication, and internal supervision. Through a series of analyses, it proposes targeted opinions or suggestions for the identified problems to improve Company X's overall internal control system and enhance the company's governance level. While the current research on private securities investment funds mainly focuses on the performance research of scale and structure, this paper focuses on the internal control management system of securities private equity funds, conducts in-depth research on its existing problems, and proposes solutions. It is hoped that through the research on the optimization of X public and internal control, the investment management ability of X Company can be improved, and it can also provide reference for similar institutions.
查看全文：	预览  下载(下载需要进行登录)