保荐人监管论文：保荐人监管法律制度研究

1、精品 word 文档值得下载值得拥有保荐人监管论文：保荐人监管法律制度研究【中文摘要】 我国首次规定实行保荐人制度是在 2003 年 10 月中 国证监会发布证券发行上市保荐制度暂行办法中，实行保荐人制 度的是让保荐人在证券发行环节充当“第一看门人”的角色，利用这一制度对上市公司以及为公司发行上市提供专业服务的中介机构形 成一种强制性的外部督导和核查机制。但是随着保荐人制度的实行，保荐人迁就上市公司实际控制人的情形屡有发生，为了避免这类事件 的发生,有必要对保荐人进行严格的监管。为了保证监管的有效进行，需要设计一系列的法律制度，对保荐人监管的法律制度进行一些探 讨。首先是对保荐人监管制度及其价

2、值进行分析，先是简要介绍了保 荐人监管的内涵；然后阐述了保荐人监管的范围，从准入监管和履行 职责监管两个方面进行论述；最后初步分析了保荐人监管制度的意义 和价值。其次是关于保荐人监管体系及其完善，先指出我国现行法律 制度体系及其缺陷，并提出了一些改革和完善的建议；接下来从监管 的主体、监管的对象、监管的内容和监管的法律责任四个方面对我国 保荐人监管体系进行了详细阐述，并提出一些改革和完善建议。再次 是对保荐人和保荐代表人的准入监管制度及其完善的分析，分别从保 荐机构的准入和保荐代表人的准入进行论述。在保荐机构准入方面，介绍了我国保荐机构准入制度的内容，在此基础上对保荐机构准入制 度提出了一些改

3、革和完善的建议。在保荐代表人准入方面，介绍了保荐代表人准入制度的内容，并在此基础上对保荐代表人准入制度改革精品 word 文档 值得下载 值得拥有和完善提出了几点建议。最后是关于保荐人履行职责行为监管制度及 其完善,先具体介绍了保荐人履行职责的范围，然后对我国保荐人履 行职责制度存在的缺陷进行了分析，在此基础上，对我国保荐人履行 职责制度的完善提出了几点具体措施。【英文摘要】For the first time China stipulates sponsor system is in“ Provisi onal Measures on the Spon sor System forSecur

4、ities Issuing and Listing ” , which issued in October 2OO3.The sponsor system is aimed at making the spon sor plays a role as“ Nodoorman ” in the link of securities issuaneeand forming a kind of compulsory exter nal supervisi on and verificati onmecha nism for the listed compa nies and in termediary

5、 age ncies whichprovide professi onal service for companylisting.But, with theimplementation of sponsor system,it happens a lot that the sponsor accommodatesto the controller of listingcompany, to avoid this case, it is necessary to carryout strictsupervision to the sponsor system. A series of legal

6、system are needed to ensure the effective implementation of the sponsorsystem. This paper will focus on the discussion on the legal system of thespon sor supervisio n. The first part mai nly an alyses the spon sorsupervisi on system and its value. First briefly introduces the connotationof sponsor s

7、upervision, and精品 word 文档 值得下载 值得拥有then illustratesits range from permission supervision and dutysupervision,last is a preliminary analysis on the meaning andvalue of spon sor supervisi on system.The sec ond part is the focus ofspon sor supervisi on system and its perfecti on. First points out thede

8、fects in current legal system in our country and gives a suggestion onits reform and improvement, the author makes a thoroughgoing analysisof the subject, the object, the con text and the legal resp on sibilityofthe spon sor supervisi onsystem respectively, offers somec on structivesuggesti on s.The

9、third part is the analysis on the improvement of the permission supervision system of spon sor and spon sor represe ntative, elaborates onpermission of sponsor agency and the sponsor. On the permission of thesponsor agency, introduces the permission system, on the basis of which,gives someadvices on

10、 its reform and improveme nt. The author also introduces the permissi on system of spon sor represe ntative and givessome con structive suggesti ons on its perfecti on. The fourth part is aboutthe supervisi on system of the spon sor tak ing up duty and how toimprove this supervision system, firstint

11、roduces the scope ofduty particularly,and then analyses the defect in the sponsorduty supervisi on, on the basis of which, offers con crete measures on itsperfecti on.【关键词】保荐人监管准入监管履行职责监管精品 word 文档值得下载值得拥有【英文关键词】Spon sor supervisi onPermissi onsupervisi onDuty performa nee supervisi on【目录】保荐人监管法律制度研究摘要 4-5 Abstract 5引言 6-9 一、保荐人监管制度及其价值分析9-20 （一）保荐人监管的内涵 9（二）保荐人监管的范围 9-12（三）境外保荐人的监管制度比较 12-17（四）保荐人监管制度的价值 17-20 二、保荐人监管的体系和完善 20-29（一）保荐人监管的法律体系及其完善 20-22 （二）保荐人监管的架构体系及其完善22-29 三、保荐人准入监管及其完善 29-33（一）保荐机构的准入监管及其完善 29-31（二）保荐代表人的准入监管及其完善31-33 四、保荐人履行职责监管及其完