中国证券公开发行制度的监管

发布时间：2018-04-10 04:20

本文选题：证券公开发行　切入点：信息披露制度　出处：《上海师范大学》2013年硕士论文

【摘要】：证券市场是一个金融公开的市场，是由包括上市公司、中介服务机构、投资者、证券管理机构等各个不同的利益主体所共同构成。证券市场的运行以及变动会对整个国家乃至国际上的政治、经济、金融等产生普通的商品市场所无法企及的影响。而证券公开发行市场作为证券市场的重要组成部分，其影响则更为显著。市场的健康发展与有效的监管相辅相成，中国的证券市场起步较晚，属于新兴市场，有大量的监管理念和经验可以借鉴，政府对证券公开发行的干预亦呈现出全方位性和多层次性的特征。政府不仅要负担起创造、扶持和完善证券公开发行市场的职能，还要有效制约证券公开发行市场上的垄断和不公平竞争的行为，预防和改善市场失灵，维护市场稳定，从而促进经济发展，证券公开发行监管制度的完善意义重大。本文分为五章。第一章是绪论部分，介绍了课题来源和文献综述。第二章着重对相关概念的陈述和梳理，奠定研究的理论基础。主要研究证券公开发行监管的基本内涵、与相关概念的区别以及理论基础分析。第三章主要介绍中国证券公开发行监管制度现状，着重对中国现行的监管制度进行梳理。对中国证券监管制度的演变、监管中的信息披露、定价机制、自由裁量权问题进行详细阐述。第四章主要介绍国外的证券公开发行监管制度，，通过对相关国家有关公开发行监管制度的梳理，并对其进行比较分析。第五章是本文的重点，主要是如何发展和完善我们的制度，借鉴各个国家和地区的监管制度，结合中国的发展现状，从理念培养、相关法律制度完善、程序化和制度化等方面提出相关建议。
[Abstract]:The securities market is a financial open market, which is composed of listed companies, intermediary services, investors, securities regulatory agencies and other different stakeholders.The operation and changes of the securities market will affect the whole country and even the international politics, economy, finance and so on, which can not be reached by the ordinary commodity market.As an important part of the securities market, the public offering market has a more significant impact.The healthy development of the market and effective supervision complement each other. China's securities market starts relatively late and belongs to the emerging market. There are a lot of regulatory concepts and experiences to learn from.The government's intervention in the public offering of securities also shows the characteristics of omnibearing and multi-level.The government should not only afford to create, support and improve the function of the public securities issuance market, but also effectively restrict the monopoly and unfair competition in the securities public issuance market, prevent and improve market failure, and maintain market stability.In order to promote economic development, the supervision system of public issuance of securities is of great significance.This paper is divided into five chapters.The first chapter is the introduction, which introduces the source of the topic and literature review.The second chapter focuses on the related concepts of the statement and combing, lay a theoretical foundation for the study.This paper mainly studies the basic connotation of the supervision of public issuance of securities, the difference between the relevant concepts and the theoretical basis analysis.The third chapter mainly introduces the current situation of China's securities issuance regulatory system, focusing on the current regulatory system in China.The evolution of China's securities regulatory system, information disclosure, pricing mechanism and discretion are discussed in detail.The fourth chapter mainly introduces the supervision system of securities public issuance in foreign countries, and makes a comparative analysis on it by combing the relevant regulatory systems of public issuance in relevant countries.The fifth chapter is the focus of this paper, mainly how to develop and perfect our system, learn from the supervision system of various countries and regions, combine the current situation of China's development, train the idea, perfect the relevant legal system,Procedure and institutionalization and other aspects of the relevant recommendations.
【学位授予单位】：上海师范大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287

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