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因为基金“老鼠仓”行为的隐蔽性和易规避性、基金治理结构不合理、基金老鼠仓法律责任机制的缺失、基金从业人员的法律意识不强等原因,中国基金业的“老鼠仓”现象比较普遍。境外成熟市场的国家或地区对基金“老鼠仓”采用了法律规制和自律管制两种模式,中国应当借鉴美国等国家或地区法律管制的模式,在允许基金从业人员买卖股票的前提下,要求基金管理人建立其工作人员及其配偶、利害关系人买卖证券的申报、审查、披露和违纪处罚规则等管理制度,确保这些制度的有效实施,中国证监会等监管机构对基金管理公司预防基金老鼠仓制度实施的有效性予以监管,并以此为原则完善我国的证券投资法律制度。
Because of the concealment and easy avoidance of fund “rat warehouse ”, the irrational fund governance structure, the lack of legal responsibility mechanism of fund ’s rat warehouse and the weak legal awareness of fund employees, Warehouse “phenomenon is more common. Countries or regions with mature overseas markets have adopted two modes of legal regulation and self-regulation on the fund ”rat warehouse ". China should learn from the laws and regulations of the United States and other countries or regions. Under the premise of allowing fund practitioners to buy and sell stocks, The fund managers are required to establish a management system of reporting, reviewing, disclosing and disciplinary sanctions for their staff and their spouses and interested parties, and ensuring the effective implementation of these systems. The regulatory authorities such as the CSRC, on behalf of the Fund Management Company Prevention Fund The effectiveness of the implementation of the rat warehouse system to be regulated, and as a principle to improve China’s securities investment legal system.