证券发行保荐人法律角色及监管研究
发布时间：2018-12-09 10:07
【摘要】：我国证券发行市场存在着效率低下、高发行价、高市盈率、高超募资金、权力寻租等问题,这些问题的核心在于其市场化程度有待进一步提高。而市场化的发展要求证券发行市场各主体的归位,尤其是保荐人角色的转变,需要其真正担当起拟发行上市人的监督人、证券监督管理机构的辅助人、投资者的教育人的角色,全面履行辅导推荐职责、监督审核职责和担保职责。保荐人角色的转变需要配套制度的保障,并要求保荐人承担起更重要的责任。
[Abstract]:There are some problems in China's securities market, such as low efficiency, high issue price, high price-earnings ratio, excellent capital raising and power rent-seeking, etc. The core of these problems lies in the need to further improve the degree of marketization. The development of marketization requires the return of all the main bodies in the securities issuing market, especially the change of the role of sponsors, and the role of the supervisor, the assistant of the securities regulatory body and the educator of the investor, as well as the role of the sponsor, the supervisor of the intended issuer, the assistant of the securities regulatory body, and the educator of the investor. Fully fulfill the responsibilities of guidance and recommendation, supervision, audit and guarantee duties. The change of sponsor's role needs the guarantee of supporting system and requires sponsor to assume more important responsibility.
【作者单位】： 英大证券有限责任公司;
【分类号】：D922.287
[Abstract]:There are some problems in China's securities market, such as low efficiency, high issue price, high price-earnings ratio, excellent capital raising and power rent-seeking, etc. The core of these problems lies in the need to further improve the degree of marketization. The development of marketization requires the return of all the main bodies in the securities issuing market, especially the change of the role of sponsors, and the role of the supervisor, the assistant of the securities regulatory body and the educator of the investor, as well as the role of the sponsor, the supervisor of the intended issuer, the assistant of the securities regulatory body, and the educator of the investor. Fully fulfill the responsibilities of guidance and recommendation, supervision, audit and guarantee duties. The change of sponsor's role needs the guarantee of supporting system and requires sponsor to assume more important responsibility.
【作者单位】： 英大证券有限责任公司;
【分类号】：D922.287
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6 颜t，
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