论文部分内容阅读
保荐人制度在我国是一项新生事物,它将很大部分监管职责从证监会转移到券商的自律监管,对于我国证券市场的健康发展有着里程碑式的意义。但是,在我国证券市场未达到成熟完善的情况下,该制度也不免带有诸多局限性,这些缺陷正在引起人们的广泛关注。在对该制度缺陷的研究中,保荐人职责的强化占据着其中一个重要方面。证券市场中许多乱象都无法与保荐人职责的缺位脱离干系,强化保荐人职责,已成为制度改革的一大关键。
Sponsor system in our country is a new thing, it will be a large part of regulatory responsibilities transferred from the SFC to the self-regulation of securities companies, for the healthy development of China’s securities market has a milestone significance. However, under the condition that the securities market of our country is not mature and perfect, the system can not help but bring many limitations, and these defects are arousing widespread concern. In the study of the system defects, the reinforcement of the sponsor’s duty occupies one of the important aspects. Many chaos in the securities market can not be separated from the absence of the sponsor’s duties, and strengthening the sponsor’s duties has become a key issue of system reform.