基金托管人

我国基金托管人监督职责问题研究

A Study on Supervision Responsibility of Chinese Trust Custodian

论我国契约型基金托管人法律制度的完善

Study on the Improvement of Legal System of Contractual Fund Custodian in China

将基金托管人作为构建审计监督的核心角色，从多层面分析如何加强对契约型基金的监督管理。

The custodian has been thought the core role in order to construct audit supervision system , and how to strengthen supervision and management on mutual fund from multiple analysis .

随着养老基金托管人认识到，直接投资地产对时间管理的要求过高，而组合投资方式似乎更具吸引力，因此单位信托基金开始受到追捧。

Unit trusts started to gain traction as pension fund trustees realised direct investment in property was too demanding of management time , and the pooled route appeared more attractive .

改进基金托管人的选择办法，引入公司型基金并尽快完善基金管理法是解决问题的当务之急。

It is urgent to improve the current procedures for choosing fund trustees , introduce the company-oriented fund and promptly make the legislation perfect so as to solve the problems immediately .

从微观因素上看，基金托管人、基金销售机构、基金经理人、基金持有人对单只开放式基金的规模则具有决定作用。

To Micro-factors , the trustee of funds , the deputy of funds , the handlers of funds and the holders of funds have decisive effect on the sole scale of fund .

再分别对基金托管人在设立标准、选任机制、监督性质、监督权力的授予、信赖义务与法律责任、激励机制六个方面存在的问题进行归纳分析。

This part also discusses respectively the issues of standard of establishment , appointment mechanism , the nature of supervision , the delegation of supervisory authority , fiduciary duty , legal liability and the incentive mechanism of fund custodian .

文章主要是从强化基金托管人的独立性和监控职能，完善独立董事制度，完善基金份额持有人会议功能等方面论述强化契约型证券投资基金治理结构的制衡。

This paper mainly discusses about strengthening the check and balance on contractual securities investment fund governance structure from the aspects such as enhancing the independence and supervision function of fund custodian , perfecting independent director system and perfecting function of fund holders meeting , etc.

订明基金托管人应积极配合基金管理人的核查行为，包括但不限于：提交相关资料以供基金管理人核查托管财产的完整性和真实性，在规定时间内答复基金管理人并改正。

The fundfunds trusteecustodian shall properly cooperate in the fundfunds manager 's check , including but not limited to providing relevant information necessary for the fundfunds manager to examine the integrity and truthfulness of the fundfunds assets , responding to the fundfunds manager and making correction within the prescribed period .

在这份判决书中，法官裁定谢莉·斯特林将丈夫移出家庭信托基金的托管人做法得当，该基金拥有球队的所有权。

In this ruling the judge determined Shelly Sterling acted properly when she removed her husband as trustee of the family trust that owns the team .

允许在华合资银行取得托管业务牌照，以管理保险基金、托管人产品、私人股权基金、社会安全及养老基金。

Allow locally incorporated banks to obtain custody licenses to manage insurance funds , trustee products , private equity funds , social security and pension funds .

相对于缺乏监督能力的基金持有人，基金托管人凭借其专业的知识和技能，通过对基金管理人投资权力的制衡，成为投资者的利益保护人。

Comparing to the fund holders who lack of monitoring capabilities , fund custodian with their professional knowledge and skills , can balance the power of fund manager as the protector of investor .

分析指出绝大多数基金管理人和基金托管人并不具有信息披露的主动性，互联网信息披露存在功能设置不合理、宣传引导不足等问题。

It is pointed out that most fund managers and fund trustees are lack of initiative , the function of internet information disclosure is unreasonable .

基金管理人、基金托管人因基金财产的管理、运用或者其他情形而取得的财产和收益，归入基金财产。

The property and benefits obtained by the fund manager and fund trustee as a result of the management , utilization or any other use of the fund shall be included into the fund property .

我国《证券投资基金法》规定：基金托管人负有保管和监督双重职责。

Security investment trust fund law regulates that the custodian should .

确定基金专用席位后，基金托管人应当向资金交收部办理开立资金清算帐户手续。

After confirming the exclusive funds seats , the finds custodian shall handle the procedures for establishing the capital clearing account at the capital delivery and receiving department .

基金管理人应保证基金托管人在执行基金管理人发送的划款指令时，基金银行账户或资金交收账户上有充足的资金。

The fundfunds manager shall ensure sufficient money in its bank account or fundfunds settlement account when the fundfunds trusteecustodian executes the fundfunds transfer instruction of the funds manager .

信托基金可以由某个单独的托管人来管理，也可以让多人组成信托基金托管人。

The trust fund may be managed by a single trustee , or be structured to allow for more than one trustee .

在此法律关系中，基金持有人是委托人，基金管理人和基金托管人是受托人。

In this legal relation , the fund holder is a client , fund superviser and fund mandator are trustees .

开放式基金的管理人应定期或不定期向基金托管人提供基金份额持有人名册。

The funds manager of an open-ended fundfunds shall provide the list of fundfunds unit holders for thefunds manager on a regular or irregular basis .

证券投资基金指通过公开发售基金份额募集资金，由基金托管人托管，由基金管理人管理和运用资金，为基金持有人的利益，通过资产组合进行的证券投资方式。

Securities Investment Funds refer to funds raised through public offering of fund shares . They are deposited in the fund trustee , managed and used by fund manager . For the interests of fund holders , Securities Investment Funds invest securities by stock portfolio .

笔者指出，一般来讲基金当事人无外乎基金持有人、基金管理人和基金托管人。

Generally , the parties of the fund included the investor , the manager , and the custodian .

上市开放式基金完成登记托管手续后，由基金管理人及基金托管人共同向深交所提交上市申请。

After lofs complete the procedures of registration and depository , funds manager and custodian of funds shall jointly submit a listing application to szse .

基金经理与基金管理人之间是雇佣合同关系，与基金托管人之间是托管合同关系，与基金持有人之间是委托合同关系。

The relations between fund manager and fund shareholders are entrustment relations .

证券投资基金参与市场交易必须以基金的名义开设证券帐户，基金托管人可到登记部办理具体手续。

The securities investment funds participating in the marketing transactions shall establish securities accounts in the name of the funds , and the funds custodian may handle the specific procedures at the register department .

基金持有人享有基金资产的所有权，基金经理管理运作基金资产，基金托管人保管基金资产，并对基金管理公司承担一定的监督责任。

Fund shareholder possesses the ownership of the fund assets and fund manager manages the fund portfolio , and fund trustee is entrusted with fund assets for safekeeping and undertakes supervision responsibility .

投资基金的当事方包括：基金投资人和基金受益人、基金管理人、基金托管人。

Parties involved in mutual fund operations include the fund investor , the fund beneficiary , the fund manager and the fund depository .

在证券投资基金的契约&受托人模式中，这种对管理人的监督制衡责任一般由基金托管人来承担。

In the contract-trustee mode of investment fund , the supervising and balancing responsibility is taken by fund trustee .

考虑到私募基金的投资人具有一定的投资判断和对等协商的能力，当事人可自行决定是否设定独立的基金托管人。

Taking into the account of the investor of the privately offered fund has the ability of investment judgment and negotiation , the parties of the privately offered fund for private equity fund can decide whether to set up independent supervisor .

开放式基金当事人的风险主要体现在基金持有人的流动性风险、基金管理者的基金管理风险与基金托管人的基金代理、销售风险等。

The persons concerned with the open - end fund have to face big risks , which may mainly fall into three parts ; the liquidity risk for the fund investors , the fund operation risk for the fund officers and the fund sale and custody risk for the custodians .