上市公司及其关联方公开承诺履行制度的构建

发布时间：2018-03-01 08:13

本文关键词： 上市公司公开承诺履行持续信息披露民事赔偿　出处：《法律适用》2015年08期 　论文类型：期刊论文

【摘要】：在我国证券市场上,上市公司及其控股股东、实际控制人等关联方不履行公开承诺的现象较为突出。为了保护我国证券市场,包括将要推出的国际板市场〔1〕投资者权益,有必要建立和完善上市公司及其关联方公开承诺履行制度。该制度的建立和完善,需要将公开承诺纳入《证券法》的规制范围,便利对公开承诺履行的事前监管;需要完善公开承诺履行情况的持续信息披露制度,对公开承诺的履行进行事中监管;最后,应参照虚假陈述制度的相关规定,要求未履行公开承诺的主体实际履行,并对中小投资者承担民事赔偿责任,加强对公开承诺履行的事后监管。
[Abstract]:In our country's securities market, the phenomenon that listed companies and their controlling shareholders and related parties such as actual controllers do not fulfill their public commitments is quite prominent. In order to protect the rights and interests of investors in China's securities market, including the international board market to be launched, It is necessary to establish and perfect the system of public commitment performance of listed companies and their related parties. The establishment and perfection of this system need to bring public commitments into the scope of regulation of the Securities Law to facilitate the prior supervision of the implementation of public commitments; It is necessary to improve the continuous information disclosure system for the implementation of public commitments, and supervise the implementation of public commitments. Finally, we should refer to the relevant provisions of the false statement system to require the subjects who have not fulfilled the public commitments to actually fulfill them. And to small and medium investors to bear civil liability, strengthen the implementation of public commitments after the supervision.
【作者单位】：对外经济贸易大学法学院;
【基金】：马其家教授主持的2012年国家社会科学基金一般项目“我国国际板证券发行监管制度的构建研究”(12BFX135) 2011年教育部规划基金项目“我国证券市场国际板设立中法律问题研究”(11YJA820050)的阶段性成果
【分类号】：D922.287

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