保荐人监管论文：保荐人监管法律制度研究

1、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

2、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

3、，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 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.【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