Risk-Based Fund Regulation Modernization

Author: Li Zhongxiang
Publisher:
Publish Date: 2002-09-01
Features: Introduction: How to effectively respond to competition after joining the WTO, and how to completely break free from the shadow of the "fund black curtain" – these are the issues that fund regulation must face in the future. Based on a comprehensive and systematic discussion of American fund regulatory experience, this book provides an in-depth analysis of the current state and shortcomings of fund regulation in China. The author proposes establishing a flexible, open, and modern regulatory model starting from the perspective of investors, without increasing systemic risk, and achieving a strategic shift from compliance-based regulation to risk-based regulation. The book presents insightful arguments, systematic discussions, and is both forward-looking and actionable. It is suitable for policymakers and regulators in the financial industry, fund operators,, undergraduate and graduate students majoring in finance and securities.