我国保荐代表人法律制度研究

发布时间：2018-11-07 21:15

【摘要】：我国大陆证监会于2003年12月28日颁布《证券发行上市保荐制度暂行办法》,并于2004年2月1日起开始施行,自此,我国证券市场正式建立了保荐人制度。我国的保荐制度是“双保制”,即保荐人与保荐代表人共同保荐的制度,主要是以香港地区保荐制度为蓝本来设计的,起步较晚,发展较慢,尚略显稚嫩。近些年来,在实际操作过程中发生了许多保荐代表人违法违规事件,保荐代表人制度缺陷凸显。本文以我国保荐代表人法律制度为研究视角,对我国现行有关保荐代表人的法律法规进行分析,通过对我国大陆地区和香港地区“保荐代表人”制度进行比较研究,并结合近些年来证券市场上出现的保荐代表人违法违规的具体案例,剖析我国现行保荐代表人制度可能存在的缺陷,针对问题提出完善该制度的相关建议。本文共分为三大部分,第一部分包含第一、二章,两章对保荐代表人制度基本概念及其相关基础理论做了基本的概述及分析,主要介绍了保荐代表人的主要职责、法律地位、行为性质、承担的法律责任,以便对保荐代表人法律制度进行一个全方位的了解和掌握。第二部分为第三、四章,该部分通过结合近年来我国证券市场上保荐代表人不合法合规行为的具体案例进行具体分析,剖析我国现行保荐代表人法律制度存在的主要问题。并创新性的对我国大陆地区和香港地区“保荐代表人”法律制度从准入机制、角色定位和法律责任三大方面进行比较研究,发现其可鉴之处。文章的第三部分为第五章,该章通过前文缺陷剖析和相关制度比较研究的基础上提出完善该制度的薄见,即从准入机制、角色定位、法律责任三大方面来进行制度上的设计和完善。本文的创新点主要在于：由于我国大陆地区保荐制度是借鉴香港地区保荐制度来进行设计的,因此本文通过对我国大陆地区和香港地区的“保荐代表人制度”进行比较研究,提出解决我国保荐代表人制度发展过程中遇到的突出问题的可行性建议,对我国保荐代表人制度的研究有一定意义。
[Abstract]:On December 28, 2003, China mainland Securities Regulatory Commission promulgated the "interim measures on the recommendation system of Securities issuance and listing", which came into effect on February 1, 2004. Since then, the sponsor system has been formally established in China's securities market. The recommendation system of our country is "double guarantee system", that is, the sponsor and sponsor jointly sponsor system, mainly based on the sponsor system in Hong Kong, starting later, developing slowly, still slightly immature. In recent years, in the actual operation process, many sponsor representative illegal incidents, sponsor representative system defects highlight. From the angle of view of the legal system of sponsor representative in our country, this paper analyzes the current laws and regulations of sponsor representative in China, and makes a comparative study on the system of sponsor representative in mainland China and Hong Kong. Combined with the specific cases of sponsor representative in the securities market in recent years, this paper analyzes the possible defects of the current sponsor representative system in China, and puts forward some relevant suggestions to improve the system. This paper is divided into three parts. The first part contains the first and second chapters. The two chapters give a basic overview and analysis of the basic concepts and related basic theories of the sponsor representative system, and mainly introduce the main duties and legal status of the sponsor representative. The nature of the act, the legal responsibility, in order to sponsor the representative legal system for a comprehensive understanding and grasp. The second part is the third and fourth chapters. This part analyzes the main problems of the current sponsor representative legal system by combining with the specific cases of the sponsor representative's illegal compliance behavior in China's securities market in recent years. The author also makes a comparative study on the legal system of "sponsor representative" in mainland China and Hong Kong from three aspects: access mechanism, role orientation and legal responsibility. The third part of the article is the fifth chapter. Based on the analysis of defects and the comparative study of relevant systems, this chapter puts forward some suggestions on how to perfect the system, that is, from the access mechanism, role orientation, and so on. Three aspects of legal liability to design and improve the system. The innovation of this paper mainly lies in: because the sponsor system in mainland China is designed by reference to the sponsor system in Hong Kong, this paper makes a comparative study on the "sponsor representative system" between mainland China and Hong Kong. The paper puts forward some feasible suggestions to solve the outstanding problems encountered in the development of the sponsor representative system in China, which is of certain significance to the study of the sponsor representative system in our country.
【学位授予单位】：云南大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.287

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