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5.监管思路有待更新。监管目标一定程度上局限于“看住”资金,贯彻“受益人利益最大化”和促进保值增值的措施力度不够。监管模式主要依靠数量比例约束,贯彻“审慎人”理念和调动管理机构能动性不够。在机构监管上,一定程度上局限于对制度执行的检查,尚未建立基于风险控制的监管体系,配合资格准入审批的惩罚淘汰机制有待加强。在监管手段上,
5. Regulatory thinking needs to be updated. To some extent, the regulatory objectives are not enough to “see and live” funds, implement the “maximization of beneficiaries’ interests” and promote the preservation and increment of value. Regulatory model depends mainly on the proportion of the number of constraints, to implement “prudent people ” and mobility management agencies not enough motivation. In terms of institutional supervision, to a certain extent, it is limited to the examination of the implementation of the system, and a regulatory system based on risk control has not been established yet. The mechanism for eliminating the penalties that accompanies qualification approval needs to be strengthened. In the regulatory means,