证券投资基金协会-中国私募证券投资基金行业发展报告（2017）-2019.1-74页.pdf

01234567892017年行政处罚违规行为汇总分析10,025 21,675 30,284 116.21%39.72%0.00%20.00%40.00%60.00%80.00%100.00%120.00%140.00%2015年2016年2017年05,00010,00015,00020,00025,00030,00035,000基金数量环比增速 9,530 16,342 17,182 71.47%5.14%0.00%10.00%20.00%30.00%40.00%50.00%60.00%70.00%80.00%90.00%100.00%-2,000 4,000 6,000 8,000 10,000 12,000 14,000 16,000 18,0002015年2016年2017年基金规模环比增长 10,02511,79114,32918,90121,67523,86325,74827,32130,28417.62%21.52%31.91%14.68%10.09%7.90%6.11%10.85%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%05,00010,00015,00020,00025,00030,00035,000基金数量环比增速9,530 11,367 12,744 14,982 16,342 16,605 16,369 16,850 17,182 19.27%12.11%17.56%9.08%1.61%-1.42%2.94%1.97%-2.00%0.00%2.00%4.00%6.00%8.00%10.00%12.00%14.00%16.00%18.00%20.00%-2,500 5,000 7,500 10,000 12,500 15,000 17,500基金规模环比增长权益类基金0.42 固定收益类基金2.90 混合类基金0.48 期货及其他衍生品类基金0.18其他类基金1.02 -0.50 1.00 1.50 2.00 2.50 3.00 3.50012345697.04%0.11%2.83%0.02%93.01%0.50%6.46%0.03%0.00%10.00%20.00%30.00%40.00%50.00%60.00%70.00%80.00%90.00%100.00%0.00%20.00%40.00%60.00%80.00%100.00%120.00%201620172016201747.58%33.00%9.18%9.65%0.45%0.14%3.30%13.61%11.22%44.28%13.34%14.26%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%40.00%45.00%50.00%2016年数量占比2017年数量占比2016年规模占比2017年规模占比12,15171111,2641,4785844,0965,066.062,065.175,402.20261.70596.983,790.08010002000300040005000600002000400060008000100001200014000201620172016201740.12%2.35%37.19%4.88%1.93%13.53%29.48%12.02%31.44%1.52%3.47%22.06%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%40.00%45.00%50.00%201620172016201713.67%22.81%25.86%25.48%12.18%49.40%20.07%8.07%3.49%18.97%0.00%10.00%20.00%30.00%40.00%50.00%60.00%管理费托管费21.12%19.15%50.03%9.70%22.35%20.55%46.86%10.24%0.00%10.00%20.00%30.00%40.00%50.00%60.00%整体高水位法单笔份额高水位法66.23%17.37%4.26%12.14%67.71%9.65%3.46%19.18%0.00%10.00%20.00%30.00%40.00%50.00%60.00%70.00%80.00%从基金资产计提向投资人收取209.49,46.20%11.84,2.61%199.44,43.99%19.79,4.36%12.83,2.83%管理费投资顾问费业绩报酬托管费/保管费运营服务费/外包服务费15.41%21.30%57.94%4.95%0.41%管理费投资顾问费业绩报酬托管费/保管费运营服务费/外包服务费4,881.809,530.3616,341.5823,020.871,47110,9217,9968,26305,00010,00015,00020,00025,0002014201520162017管理规模/亿元机构数量/家自然人及其所控制民营企业控股,国有控股,148社团集体控股,2外商控股,12其他（控股主体性质不明或无控股主体）,382其他,544国有控股,283社团集体控股,11外商控股,10其他,537其他（控股主体性质不明或无控股主体）,?,?内资企业,8238中外合资企业,10中外合作企业,2外商独资企业,13内资企业中外合资企业中外合作企业外商独资企业14624509108882110132201579601711129内资企业,8238中外合资企业,10中外合作企业,2外商独资企业,13内资企业中外合资企业中外合作企业外商独资企业263,3.18%280,3.39%6558,79.37%1162,14.06%0-500500-10001000-50005000,163,2.04%328,4.10%4521,56.54%2202,27.54%782,9.78%0-100100-500500-10001000-50005000767,9.59%1892,23.66%3245,40.58%1663 20.79%430,5.37%0-100100-500500-10001000-50005000244,2.95%237928.79%845,10.23%4280,51.80%515,6.23%0-100100-500500-10001000-50005000,163,2.04%328,4.10%4521,56.54%2202,27.54%782,9.78%0-100100-500500-10001000-50005000767,9.59%1892,23.66%3245,40.58%1663 20.79%430,5.37%0-100100-500500-10001000-50005000244,2.95%237928.79%845,10.23%4280,51.80%515,6.23%0-100100-500500-10001000-5000500012.54%26.60%9.13%1.75%49.98%0.00%10.00%20.00%30.00%40.00%50.00%60.00%0-25%(0)25-50%(25%)50-75%(75-100%(75%100%56.40%3.48%18.96%21.16%0.00%10.00%20.00%30.00%40.00%50.00%60.00%75-100%50-75%25-50%0-25%27.46%23.75%18.11%6.35%6.24%18.09%25.87%23.28%15.78%8.10%7.67%19.29%0.00%5.00%10.00%15.00%20.00%25.00%30.00%上海深圳北京浙江(不含宁波)广东(不含深圳)其他2016201731.30%26.80%17.43%5.27%4.39%14.81%39.38%23.98%12.81%6.90%3.50%13.44%0.0%5.0%10.0%15.0%20.0%25.0%30.0%35.0%40.0%45.0%上海北京深圳浙江(不含宁波)广东(不含深圳)其他2016201725.80%20.07%17.97%8.43%6.20%21.53%24.69%18.23%17.83%9.06%6.67%23.53%0.0%5.0%10.0%15.0%20.0%25.0%30.0%上海北京深圳广东(不含深圳)浙江(不含宁波)其他2016201734.69%28.77%16.07%4.48%3.93%12.06%34.28%32.75%12.25%6.38%3.91%10.43%0.0%5.0%10.0%15.0%20.0%25.0%30.0%35.0%40.0%201620173,6352,2727121,01223339943.99%27.50%8.62%12.25%2.82%4.83%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%40.00%45.00%50.00%050010001500200025003000350040000.1亿元以下0.10.5亿元0.5亿1亿元1-5亿元5亿10亿元10亿元以上2016年数量(家)2017年数量(家)2016年占比(%)2017年占比(%)9963,1793,44264612.05%38.47%41.66%7.82%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%40.00%45.00%50.00%-500 1,000 1,500 2,000 2,500 3,000 3,500 4,0000只1只2-10只10只以上20162017()2016201716.00%22.40%30.10%12.91%18.97%26.88%11.44%18.57%26.60%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%行业前5管理规模占比/%行业前10管理规模占比/%行业前20管理规模占比/%2015年2016年2017年71.66%7.96%0.31%5.62%14.45%84.23%3.40%0.11%1.47%10.79%0.00%10.00%20.00%30.00%40.00%50.00%60.00%70.00%80.00%90.00%私募证券基金私募股权基金创业投资基金其他投资基金顾问管理基金2016数量占比2017数量占比2016规模占比2017规模占比23,347 2,341 4,488 108 10,512.61 4,328.86 2,324.92 15.81 0.00%10.00%20.00%30.00%40.00%50.00%60.00%70.00%80.00%90.00%-5,000 10,000 15,000 20,000 25,0002016/2016/2017/2017/2016201620172017233472341108448810512.614328.8615.812324.920.00%10.00%20.00%30.00%40.00%50.00%60.00%70.00%80.00%90.00%0500010000150002000025000证券公司商业银行其他无托管/15362176845458585.894990.282765.410.00%10.00%20.00%30.00%40.00%50.00%60.00%70.00%80.00%020004000600080001000012000140001600018000证券公司银行无托管/43.58%16.38%23.76%3.44%1.57%11.26%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%40.00%45.00%50.00%37.33%33.94%12.37%1.79%1.58%12.99%0.00%5.00%10.00%15.00%20.00%25.00%30.00%35.00%40.00%自然人投资基金类计划及机构工商企业管理人跟投员工跟投其他88.30%8.10%3.60%自行募集委托募集混合募集53.17%52.81%36.50%34.39%32.37%27.44%29.61%29.72%29.45%31.05%54.86%54.53%53.53%58.84%58.66%59.44%3.02%3.47%6.05%6.33%10.90%10.82%8.94%8.03%14.37%12.67%2.59%4.75%3.21%2.90%2.79%2.82%0%20%40%60%80%100%2017 20162017 20162017 20162017 2016管理资产规模10亿元以下 管理资产规模10-20亿元 管理资产规模20-50亿元 管理资产规模50亿元以上本科硕士博士其他1.5%9.1%11.3%28.0%50.1%资产管理规模超过50亿时高管从业年限统计1年以下1-3年3-5年5-10年10年以上0.56%0.00%2.79%17.88%78.77%资产管理规模超过50亿时高管从业年限统计1年以下1-3年3-5年5-10年10年以上6.41%3018.3%48.4%27.4%5.9%2.2%8.7%10.1%29.1%49.8%11-33-55-10100.39%4.21%7.66%25.86%61.88%711-33-55-101017.54%48.88%27.17%619446652391188543301000200030004000500060007000维护投资者合法利益，争取客户利益最大化产品服务创新，为行业注入活力爱护员工，为员工创造良好的工作条件做好公益慈善及志愿者活动，回报社会其它3819280932351829472050010001500200025003000350040004500核心人员持股及持股期权薪酬递延支付利润分享事业部制其它3382259822621437134605001000150020002500300035004000扶贫捐助自然灾害捐助助学捐助参与或者组建基金会其他扫码关注：金融干货精选获取更多干货资料