我国证券市

发布时间：2018-04-20 07:06

本文选题：“看门人”的法律责任 + 证券监管　；参考：《吉林财经大学》2017年硕士论文

【摘要】：“看门人”相关理论产生于20世纪80年代的美国,在本世纪初成型。“看门人”的出现有着其特殊的历史背景—美国在19世纪初期开始了资本市场的发展,在市场发展的初期,交易双方由于缺少信任很难达成投资意向。此时市场中介机构应运而生,随着市场的持续发展,中介机构的服务范围也在不断的延伸,而本文所设定的市场环境为证券市场。我国证券市场在建立之初,主要是通过行政手段来控制上市公司的规模与数量。而随着证券市场的逐步放开,有融资需求的公司不断增加。对于这些公司在上市辅导过程中所需的材料,需要中介机构也就是本文重点讨论的“看门人”的协助,欺诈行为也是在此过程中发生的。随着“看门人理论”传入我国,相关监管部门开始重视了对“看门人”的监管,然而问题时有发生,完善“看门人”法律责任刻不容缓。本文第二章对“看门人”的相关概念进行简单阐述。在第三章中通过具体案例对美国证券市场“看门人”的失职问题进行分析,并介绍了美国相关监管部门的改革措施。文中第四章对中国“看门人”法律监管的现状进行了介绍,指出其中的不足之处。在论文第五章,同样也是通过对案例分析揭露出我国“看门人”法律监管过程中存在的问题,在借鉴美国相关经验的同时提出适应我国国情的具体措施来完善。
[Abstract]:The "gatekeeper" theory came into being in the United States in the 1980s, forming at the beginning of this century. The emergence of the "gatekeeper" has its special historical background - the development of the capital market began in the early nineteenth Century. In the early stage of the market development, it is difficult for the two parties to reach the investment intention because of the lack of trust. With the continuous development of the market, the service scope of intermediary agencies is constantly extending, and the market environment set by this article is the securities market. At the beginning of the establishment of China's securities market, the size and quantity of listed companies are controlled mainly by administrative means. With the gradual release of the securities market, the public market has the public financing demand. As for the materials needed in the process of listing guidance, the intermediaries are the assistance of the "gatekeeper" which is the focus of this article. Fraud is also happening in this process. As the "goalkeeper theory" is introduced into China, the relevant regulatory authorities have begun to attach importance to the supervision of the "gatekeeper". In the second chapter, the concept of "gatekeeper" is briefly expounded. In the third chapter, the problem of the loss of the "gatekeeper" in the US securities market is analyzed by specific cases, and the reform measures of the regulatory authorities in the United States are introduced. The fourth chapter of the article is on the third chapter. The present situation of the legal supervision of the "gatekeeper" in China is introduced and the shortcomings are pointed out. In the fifth chapter of the paper, the problems in the legal supervision of the "gatekeeper" in our country are also revealed by case analysis, and the concrete measures to adapt to the national conditions of our country are put forward to improve the problems in the process of drawing lessons from the relevant experience of the United States.

【学位授予单位】：吉林财经大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

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