论文部分内容阅读
近年来,证监会逐步加大对证券律师的事中事后监管力度,先后以未勤勉尽责为由,对部分证券律师的违法违规行为进行行政处罚或采取行政监管措施。如何判断证券律师的“勤勉尽责”是实务中面临的重要问题。本文以证券监管部门对律师事务所及律师作出的行政处罚和采取的行政监管措施共计34个案例为分析对象,从实证角度分析律师勤勉尽责的标准,并提出律师从事证券法律业务的相关建议。
In recent years, the CSRC has gradually stepped up its supervision of securities lawyers after the fact and has successively imposed administrative penalties or administrative supervision over the illegal behaviors of some securities lawyers on the ground of not diligence and due diligence. How to judge the securities lawyer “Diligence and responsibility ” is an important issue in practice. In this paper, the securities regulatory departments of law firms and lawyers to make administrative penalties and administrative measures taken a total of 34 cases for the analysis of objects, from a positive point of view of the lawyer diligence standards, and put forward the lawyers engaged in securities law business related recommendations.