保荐代表人评价体系构建及应用

发布时间：2018-05-10 15:53

本文选题：保荐代表人 + 保荐代表人制度　；参考：《复旦大学》2014年硕士论文

【摘要】：我国自2004年颁布《证券发行上市保荐制度暂行办法》后正式推行保荐代表人制度。这一制度明确了保荐代表人在证券发行市场的作用和职责,发挥了中介机构在证券市场上对发行人的约束效果。保荐代表人制度的实施对于规范我国证券市场的发展起到了很大的作用,但是目前对于保荐代表人的监管还存在一定的空缺,保荐代表人徇私舞弊的行为时有发生。因此建立一个系统的评价体系对充分发挥保荐人的作用、保护投资者利益,非常有必要。本文借鉴评价体系建立的理论与方法,梳理国内外学者有关保荐机构、保荐业务等方面的文献,同时对业内资深人士访谈,结合专家法构建评价体系,最后运用主成份因子分析,得出国内所有保荐代表人得分。有关保荐代表人的数量化评价体系在国内学术界属于首创,因此本文也有一些不足。
[Abstract]:The sponsor system has been implemented since 2004. This system clarifies the role and responsibility of the sponsor representative in the securities issuance market and exerts the binding effect of the intermediary institution on the issuer in the securities market. The implementation of the sponsor representative system has played a great role in standardizing the development of the securities market in China, but there is still a certain vacancy in the supervision of the sponsor representative, and the practice of favoritism and fraud occurs from time to time. Therefore, it is necessary to establish a systematic evaluation system to give full play to the role of sponsors and protect the interests of investors. This paper draws lessons from the theory and method of establishing the evaluation system, combs the literature of the domestic and foreign scholars about the sponsor organization, the sponsor business and so on, at the same time, interviews the senior personages in the industry, and combines the expert method to construct the evaluation system. Finally, the principal component factor analysis is used to get the score of all the sponsor representatives in China. The quantitative evaluation system of sponsor representative is the first in domestic academic circles, so this paper also has some shortcomings.
【学位授予单位】：复旦大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：F832.51

【参考文献】