【摘要】：我國(guó)大陸證監(jiān)會(huì)于2003年12月28日頒布《證券發(fā)行上市保薦制度暫行辦法》,并于2004年2月1日起開始施行,自此,我國(guó)證券市場(chǎng)正式建立了保薦人制度。我國(guó)的保薦制度是“雙保制”,即保薦人與保薦代表人共同保薦的制度,主要是以香港地區(qū)保薦制度為藍(lán)本來設(shè)計(jì)的,起步較晚,發(fā)展較慢,尚略顯稚嫩。近些年來,在實(shí)際操作過程中發(fā)生了許多保薦代表人違法違規(guī)事件,保薦代表人制度缺陷凸顯。本文以我國(guó)保薦代表人法律制度為研究視角,對(duì)我國(guó)現(xiàn)行有關(guān)保薦代表人的法律法規(guī)進(jìn)行分析,通過對(duì)我國(guó)大陸地區(qū)和香港地區(qū)“保薦代表人”制度進(jìn)行比較研究,并結(jié)合近些年來證券市場(chǎng)上出現(xiàn)的保薦代表人違法違規(guī)的具體案例,剖析我國(guó)現(xiàn)行保薦代表人制度可能存在的缺陷,針對(duì)問題提出完善該制度的相關(guān)建議。 本文共分為三大部分,第一部分包含第一、二章,兩章對(duì)保薦代表人制度基本概念及其相關(guān)基礎(chǔ)理論做了基本的概述及分析,主要介紹了保薦代表人的主要職責(zé)、法律地位、行為性質(zhì)、承擔(dān)的法律責(zé)任,以便對(duì)保薦代表人法律制度進(jìn)行一個(gè)全方位的了解和掌握。 第二部分為第三、四章,該部分通過結(jié)合近年來我國(guó)證券市場(chǎng)上保薦代表人不合法合規(guī)行為的具體案例進(jìn)行具體分析,剖析我國(guó)現(xiàn)行保薦代表人法律制度存在的主要問題。并創(chuàng)新性的對(duì)我國(guó)大陸地區(qū)和香港地區(qū)“保薦代表人”法律制度從準(zhǔn)入機(jī)制、角色定位和法律責(zé)任三大方面進(jìn)行比較研究,發(fā)現(xiàn)其可鑒之處。 文章的第三部分為第五章,該章通過前文缺陷剖析和相關(guān)制度比較研究的基礎(chǔ)上提出完善該制度的薄見,即從準(zhǔn)入機(jī)制、角色定位、法律責(zé)任三大方面來進(jìn)行制度上的設(shè)計(jì)和完善。 本文的創(chuàng)新點(diǎn)主要在于：由于我國(guó)大陸地區(qū)保薦制度是借鑒香港地區(qū)保薦制度來進(jìn)行設(shè)計(jì)的,因此本文通過對(duì)我國(guó)大陸地區(qū)和香港地區(qū)的“保薦代表人制度”進(jìn)行比較研究,提出解決我國(guó)保薦代表人制度發(fā)展過程中遇到的突出問題的可行性建議,對(duì)我國(guó)保薦代表人制度的研究有一定意義。
[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.
【學(xué)位授予單位】：云南大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：D922.287

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本文編號(hào)：2317589