保荐代表人法律制度研究

发布时间：2018-04-17 09:10

本文选题：保荐人 + 保荐代表人　；参考：《山西财经大学》2013年硕士论文

【摘要】：作为一个游移在利益边缘的群体，保荐代表人近几年开始进入到人们视野内，高收入、高智商、高能力等代名词迅速吸引了人们的眼球，这样一个在国内稀缺、甚至还带有神秘色彩的群体从事的具体工作究竟是什么呢？外界对其如此之高的评定正确与否呢？本文以保荐代表人的责任制度为研究视角，对我国现行有关保荐代表人责任制度的法律法规进行分析，结合近些年证券市场上保荐代表人违法违规的具体案例及证券市场的发展，剖析我国现行保荐代表人制度可能存在的问题，针对问题，，提出完善该制度的薄见。全文共分为三个部分，第一部分为第一章和第二章两章，两章中对保荐人制度和保荐代表人制度做出基本的概述，阐释了二者之间的关系，分析了保荐代表人的行为特征、主要职责、法律地位；第二部分为第三、第四两章，第三章中阐述我国保荐代表人制度的现状，第四章中结合具体案例，罗列出该制度存在的问题及问题产生的原因；第三部分为第五章，针对之上章节所提出的问题，提出完善该制度的建议。本文中保荐代表人的责任作为文章的准基调贯穿始终。
[Abstract]:As a group moving on the edge of interests, sponsor representatives have begun to enter people's vision in recent years. The synonyms of high income, high IQ, and high ability have quickly attracted people's attention. Such a symbol is scarce in China.What is the specific work of even a mysterious group?Is the assessment so high that the outside world is right or not?From the angle of view of the responsibility system of sponsor representative, this paper analyzes the current laws and regulations of sponsor representative liability system in China.Combined with the specific cases of sponsor representative violation and the development of securities market in recent years, this paper analyzes the possible problems existing in the current sponsor representative system in China, and puts forward some suggestions on how to perfect the system.The paper is divided into three parts: the first part is the first chapter and the second chapter, the two chapters make a basic overview of the sponsor system and the sponsor representative system, explain the relationship between the two, and analyze the behavior characteristics of the sponsor representative.The second part is the third, the fourth chapter, in the third chapter, the third chapter elaborates the present situation of the sponsor representative system in our country, the fourth chapter unifies the concrete case, lists the system existence question and the question causes;The third part is the fifth chapter.In this article, the responsibility of sponsor representative as the quasi-tone of the article runs through all the time.
【学位授予单位】：山西财经大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.28

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