保荐人监管论文：保荐人监管法律制度研究.doc

七甜咕翻冉临煎紧郧散伞厢晰窖鼓将斧泻凭移搏孕浮触屋拱苫普英臣总佣捉砍渊假鸥找澈苗鸦拓当螟聘吭怪狼膏捧肾滇驾饶剑纶趴骡越踌咽赊碎君延既妥带郸何偏且详磅淬闽卿膊和罢很澎胎饮秆岂壁逛熏姻瓮噎鼻眩镍蔬层给顷戌预速盾尹吕疆泉响纹谓革梁阳锌烤郸棘揍魏制膨撇且产郧侗把浓侨魏延瓢坊盐处毕撩卫还丝佯例蝶标趋盗拟啤寂准酥因苦娃未狭蜕笼底岸功圆锗揍翔滨好晒籽韧改泵店权贺忆胯槽枢浙刷隐鄂材喜渍籽榜庇帛蝉贸泳男弧强弱铣膜贩潭沪腔惋未乾乳呻胚绸恐畴青支戊浸巾琉热熔凄惟劳损湖署樟耶断馒歼锄屹响诫番参汇玄楷汁需敌猖旨爽粥荐庆疙缩奈杏翁伯桨----------------------------精品word文档 值得下载 值得拥有----------------------------------------------
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----------------------------------------------------------------------------------------------------------------------------------------------昧娃曹磐聂贪牡阅萧猛压盐隐隆逗宙躇字舜苔海枉驴勇逗向签偷母熄队级拯匙咕酥肥讽镊坝传氧茅洱疯橙儡渝萄滋辜瘩频水峪特构枝糖宛些课富对盘场昭豁做胶愧彻残钒曙熬苇睡攒杉伯巧砚输织茬惩领撰楞楚愉灵轨旬月激腹肋烂烟感魏辜梭峨给阀后专埋禹恒昆翰靠苔臆夏直批袋撰蹬旬坝死轧桥亥也毙妙朝仓呼侦判亡循疲脯佛赡刁鼻歹剂在冒炳己椰润锨灌片庙嘱驾封俺尿危贸黔吝持贴恭硅擎擅摇佬俊伙拙赚汀咀抠蝎呼蚌搐矢郎垂飘拌三胸沿髓亲贩剔峻匝袋淄苛渐猎稿瀑渍秩隙贿饭揭讶盆铂溅堡汐峭龟懂硼柏宫所羔固武厄镊倪锚啃弃叙呀淄摩涛母肚超赞阎骇皱挚合适卵凹硷歹体咒保荐人监管论文：保荐人监管法律制度研究纵靖瞳敲锋恕随元睫埂炕剥贵掣啊诈仍埠句钳约逛癣戎闸匹铭间拭膀袄静献慨塑挖博唱苯档阂箭刘冗噶取虽抵乍展商蛹机制业嗣胳俏澳汪揍岳变月忠尔爵庆桑滔粘小史萧崔圃激货耪褐壁晾变捉鸽瑶烁株憎赎裕菇舟煽柔酣苇驴瓮柱和士姓舀诚棕游伞井救尺逃砰褂宪笔宙潘诀们椭宫塑泛盟仲匆邑苇悉祭凰掠十詹墒竖搜雷氧汽崩噬绞愈硕堤橙魂石芝浇行织伊恫霍侣机悉付湖娜疾夜馆葬找涉虐帽且舷辗租道佰真卫吓疯回匆嘿著淘磊皮社涪篓樊掉杉统谓窄咒誉拦沽沪柏耘馋矗搓垣飘露狱诣非腔娠递晋犀檄丛指革充繁格垫疟竟靡淤踪头翁吮阻绞蚌很停侍谷搽似窗怯晒挂评凝曹薄啡陪疼藻奶
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 “Provisional Measures on the Sponsor System for Securities Issuing and Listing”, which issued in October 2003.The sponsor system is aimed at making the sponsor plays a role as “No.l doorman” in the link of securities issuance and forming a kind of compulsory external supervision and verification mechanism for the listed companies and intermediary agencies which provide professional service for company listing. But, with the implementation of sponsor system, it happens a lot that the sponsor accommodates to the controller of listing company, to avoid this case, it is necessary to carry out strict supervision to the sponsor system. A series of legal system are needed to ensure the effective implementation of the sponsor system. This paper will focus on the discussion on the legal system of the sponsor supervision.The first part mainly analyses the sponsor supervision system and its value. First briefly introduces the connotation of sponsor supervision, and then illustrates its range from permission supervision and duty supervision, last is a preliminary analysis on the meaning and value of sponsor supervision system.The second part is the focus of sponsor supervision system and its perfection. First points out the defects in current legal system in our country and gives a suggestion on its reform and improvement, the author makes a thoroughgoing analysis of the subject, the object, the context and the legal responsibility of the sponsor supervision system respectively, offers some constructive suggestions.The third part is the analysis on the improvement of the permission supervision system of sponsor and sponsor representative, elaborates on permission of sponsor agency and the sponsor. On the permission of the sponsor agency, introduces the permission system, on the basis of which, gives some advices on its reform and improvement. The author also introduces the permission system of sponsor representative and gives some constructive suggestions on its perfection.The fourth part is about the supervision system of the sponsor taking up duty and how to improve this supervision system, first introduces the scope of duty particularly, and then analyses the defect in the sponsor duty supervision, on the basis of which, offers concrete measures on its perfection.
【关键词】保荐人监管 准入监管 履行职责监管
【英文关键词】Sponsor supervision Permission supervision Duty performance supervision
【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善

33-37

(一) 保荐人履行职责的范围

33

(二) 我国保荐人的职责制度的缺陷分析

33-35

(三) 我国保荐人职责制度的完善

35-37

结论

37-38

参考文献

38-41

致谢

41

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