保薦人監(jiān)管論文：保薦人監(jiān)管法律制度研究

1、保薦人監(jiān)管論文：保薦人監(jiān)管法律制度研究【中文摘要】我國(guó)首次規(guī)定實(shí)行保薦人制度是在 2003年10月中 國(guó)證監(jiān)會(huì)發(fā)布證券發(fā)行上市保薦制度暫行辦法中，實(shí)行保薦人制 度的是讓保薦人在證券發(fā)行環(huán)節(jié)充當(dāng)“第一看門人”的角色 ，利用這 一制度對(duì)上市公司以及為公司發(fā)行上市提供專業(yè)服務(wù)的中介機(jī)構(gòu)形 成一種強(qiáng)制性的外部督導(dǎo)和核查機(jī)制。但是隨著保薦人制度的實(shí)行，保薦人遷就上市公司實(shí)際控制人的情形屢有發(fā)生，為了避免這類事件 的發(fā)生,有必要對(duì)保薦人進(jìn)行嚴(yán)格的監(jiān)管。為了保證監(jiān)管的有效進(jìn)行， 需要設(shè)計(jì)一系列的法律制度，對(duì)保薦人監(jiān)管的法律制度進(jìn)行一些探 討。首先是對(duì)保薦人監(jiān)管制度及其價(jià)值進(jìn)行分析，先是簡(jiǎn)要介紹了保 薦人監(jiān)管

2、的內(nèi)涵；然后闡述了保薦人監(jiān)管的范圍，從準(zhǔn)入監(jiān)管和履行 職責(zé)監(jiān)管兩個(gè)方面進(jìn)行論述；最后初步分析了保薦人監(jiān)管制度的意義 和價(jià)值。其次是關(guān)于保薦人監(jiān)管體系及其完善，先指出我國(guó)現(xiàn)行法律 制度體系及其缺陷，并提出了一些改革和完善的建議；接下來(lái)從監(jiān)管 的主體、監(jiān)管的對(duì)象、監(jiān)管的內(nèi)容和監(jiān)管的法律責(zé)任四個(gè)方面對(duì)我國(guó) 保薦人監(jiān)管體系進(jìn)行了詳細(xì)闡述，并提出一些改革和完善建議。再次 是對(duì)保薦人和保薦代表人的準(zhǔn)入監(jiān)管制度及其完善的分析，分別從保 薦機(jī)構(gòu)的準(zhǔn)入和保薦代表人的準(zhǔn)入進(jìn)行論述。在保薦機(jī)構(gòu)準(zhǔn)入方面，介紹了我國(guó)保薦機(jī)構(gòu)準(zhǔn)入制度的內(nèi)容，在此基礎(chǔ)上對(duì)保薦機(jī)構(gòu)準(zhǔn)入制 度提出了一些改革和完善的建議。在保薦代表人準(zhǔn)入方面

3、，介紹了保 薦代表人準(zhǔn)入制度的內(nèi)容，并在此基礎(chǔ)上對(duì)保薦代表人準(zhǔn)入制度改革 和完善提出了幾點(diǎn)建議。最后是關(guān)于保薦人履行職責(zé)行為監(jiān)管制度及 其完善，先具體介紹了保薦人履行職責(zé)的范圍，然后對(duì)我國(guó)保薦人履 行職責(zé)制度存在的缺陷進(jìn)行了分析，在此基礎(chǔ)上，對(duì)我國(guó)保薦人履行 職責(zé)制度的完善提出了幾點(diǎn)具體措施。【英文摘要】 For the first time China stipulates sponsor system is in“Provisional Measures on the Sponsor System forSecurities Issuing and Listing ” , which is

4、sued 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 serv

5、ice for companylisting. But, with the implementation of sponsor system, it happens a lot that the sponsor accommodatesto 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 eff

6、ective 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 r

7、ange 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

8、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 someconstructive suggestions.The third part is the analysis on the improvement of the permis

9、sion 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 someadvices on its reform and improvement. The author also introduces the

10、 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 defe

11、ct in the sponsor duty supervision, on the basis of which, offers concrete measures on its perfection.【關(guān)鍵詞】保薦人監(jiān)管準(zhǔn)入監(jiān)管履行職責(zé)監(jiān)管【英文關(guān)鍵詞】Sponsor supervision Permission supervision Duty performance supervision【目錄】保薦人監(jiān)管法律制度研究摘要4-5 Abstract 5引言6-9 一、保薦人監(jiān)管制度及其價(jià)值分析9-20（ 一）保薦人監(jiān)管的內(nèi)涵9 （二）保薦人監(jiān)管的范圍9-12（三）境外保薦人的監(jiān)管制度比較12-17（四）保薦人監(jiān)管制度的價(jià)值 17-20 二、保薦人監(jiān)管的體系和完善 20-29（一）保薦人監(jiān)管的法律體系及其完善20-22 （二）保薦人監(jiān)管的架構(gòu)體系及其完善22-29 三、保薦人準(zhǔn)入監(jiān)管及其完善 29-33（一）保薦機(jī)構(gòu)的準(zhǔn)入監(jiān)管及其完善29-31（二）保薦代表人的準(zhǔn)入監(jiān)管及其完善31-33四、保薦人履行職責(zé)監(jiān)管及其完善 33