国际股票融资法律监管研究

发布时间：2018-12-27 12:44

【摘要】：在金融全球化的趋势下,国际股票融资已经成为发展中国家引进外资新的增长点。我国证券市场国际化还处于起步阶段,国际股票融资的法律监管体系本身存在诸多欠缺,文章通过梳理法律监管基本理论,比较世界主要国家或地区的法律实践,并对我国法律监管中的审核制度、信息披露制度以及监管体制方面进行全面分析,为我国建立整个国际股票融资的法律监管体系提供有益的建议和参考,促进我国国际股票融资的长远稳定发展。针对国际股票融资法律监管的研究主要从五个方面进行分析：首先,对国际股票融资及其法律监管的概念进行了界定,并从经济学、法理学两个角度分析了对国际股票融资监管的必要性、适度性、监管目标以及监管原则,是其他各章的理论基础。其次,从各国国内法律监管制度和国际法律监管机制两个方面进行研究。在国内层面上论述了主要国家对融资过程中的国有股跨国上市监管制度、股票发行和上市中的监管体制以及融资公司行为的法律监管,分析了国际股票融资中产生的风险和监管体系及其存在的问题。在国际层面上主要通过信息共享机制和国际共同标准以及监管合作机制的研究,论述了国际统一监管合作的发展趋势。再次,国际股票融资中的法律监管冲突和协调,并从国内和国际两个方面提出了协调法律冲突的机制,针对协调机制中存在的问题,提出了相应的解决对策。最后,指出了我国在国际股票融资中作为监管体系上的缺陷和存在的问题,并根据我国现实国情提出了完善的建议和构想。
[Abstract]:In the trend of financial globalization, international stock financing has become a new growth point for developing countries to introduce foreign capital. The internationalization of China's securities market is still in its infancy, and there are many deficiencies in the legal supervision system of international stock financing. By combing the basic theory of legal supervision, this paper compares the legal practice of major countries or regions in the world. It also makes a comprehensive analysis of the auditing system, the information disclosure system and the regulatory system in China's legal supervision, which provides useful suggestions and references for the establishment of the whole legal regulatory system of international stock financing in China. To promote the long-term and stable development of international stock financing in China. The research on the legal regulation of international stock financing is mainly analyzed from five aspects: firstly, the concept of international stock financing and its legal regulation is defined, and the concept of international stock financing and its legal regulation is defined from the perspective of economics. This paper analyzes the necessity, appropriateness, aim and principle of supervision of international stock financing from two angles of jurisprudence, which is the theoretical basis of other chapters. Secondly, the domestic legal regulatory system and the international legal regulatory mechanism are studied. On the domestic level, this paper discusses the supervision system of the transnational listing of state-owned shares in the financing process, the regulatory system of the issuance and listing of stocks and the legal supervision of the behavior of the financing companies in the main countries. This paper analyzes the risk, supervision system and existing problems in international stock financing. On the international level, the development trend of international unified regulatory cooperation is discussed through the research of information sharing mechanism, international common standards and regulatory cooperation mechanism. Thirdly, the conflict of legal supervision and coordination in international stock financing is put forward, and the mechanism of coordinating legal conflict is put forward from both domestic and international aspects, and the corresponding countermeasures are put forward to solve the problems existing in the coordination mechanism. Finally, this paper points out the defects and existing problems of our country's international stock financing as a regulatory system, and puts forward some perfect suggestions and ideas according to the actual situation of our country.
【学位授予单位】：中南大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D996.2;F831.51

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