Part i is the 1st chapter , which explicates the legal connotation and classification of the securities investment fund and outlines its origin and development . part ii consists of the 2nd , 3rd and 4th chapters , which discuss the legal characteristics and structure of the securities investment fund , and the regulatory systems of various countries . part iii is mainly focused on legal matters related to the transnational activities of the securities investment fund , including market accession mechanism and international cooperation on regulatory system 第一部分为第一章，主要是对证券投资基金的法律涵义、分类、起源及发展进行了概括性的阐述；第二部分包括第二、第三、第四章，主要论述证券投资基金的法律性质及特征、法律结构及各国之监管体系等问题；第三部分主要论述证券投资基金跨国活动中的法律问题，包括各国市场准入机制及国际监管合作。
In order to improve the efficiency of regulation and adapt the challenge from entry into wto , universal banking and stock trading on line , our country ' s securities regulations must be reformed . so we should balance justice , efficiency and stability of regulation object ; emphasize the integration between institutional supervision and functional supervision ; deregulate market entry , business scope and trading commission and emphasize behavioral regulation , prudential regulation and protective regulation ; and improve governmental regulation , self - regulation and the co - ordination of international securities regulation 即在规制目标上要注重公平性、效率性和稳定性的权衡，在规制体制上要积极探索机构监管与功能监管相结合的途径并加强各监管机构之间的协调，在规制内容上应在逐步放松对市场进入、业务范围和佣金费率规制的同时，进一步强化证券业的行为规制、审慎性规制和保护性规制，在规制方式上要在完善政府外部监管的同时进一步加强行业自律管理和国际监管合作。
The former refers to legal supervision over transnational insider trading by related international organizations and cooperative supervision over insider trading of securities by various states ; the latter is expounded by dating back to its origin and viewing its scope of application and force 最后对内幕国际监管和自律机制；其中，国际监管有相关国际跨国证券内幕交易的法律监管和世界各国对证券内幕交易合作监管方式。自律机制从其概念的产生及适用范围和效力进行论述。
Part two considered the purposes and principles of regulating which were enacted by the international organizations of securities regulatory commissions and put forward the author ' s argument about the fundamental and specific purposes of china ' s regulating - fairness and efficiency are the ultimate purposes , while a proper price level , proper amount of corporation financing , correcting violating activities , promoting modem company system , protecting the interests of small investors , etc . , are the specific targets of regulating during different periods of time 证券监管作为一种具有特定内涵和特征的政府规制行为，有其宏观的和具体的目标，这是监管者在实施监管中所要达到的目的。证券监管的目标可分为具体目标和根本目标。国际证监会组织( iosco )于1998年修订的《证券监管目标与原则》用三个目的、三十个原则来概括了国际监管的标准。
The author not only discusses the legal nature of basle framework , but also focuses on two new fields of international supervisory cooperation , i . e . supervision of financial conglomerates and new basle capital accord . the author suggests that attention be focused on bilateral co - operation and co - ordination under current circumstance , but multinational co - operation should also be taken into full account in the long run 作者以巴塞尔文件体系作为研究的核心，对巴塞尔文件体系的法律性质作了细致的界分，并撷取了跨国银行国际监管的两大新领域- -多元化金融集团的国际监管和巴塞尔新资本协议展开了较深入的专题研究。
