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GEM sponsor system regulated access international comparative studies

Author: HanJieLing
Tutor: ZhaoWei
School: China University of Political Science
Course: International Law
Keywords: GEM Sponsor regime Market access regulation
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 309
Quote: 1
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Abstract


GEM, with the motherboard relative, for small and medium enterprises with development potential (mainly high-tech enterprises) to provide financing on the Alternative Investment Market. GEM listing standards lower than the main market, the issuer does not focus on the current performance of the company, and its emphasis on innovation and growth, as well financing platform for SMEs, but also for the investors and the market has brought huge risks. How to deal with GEM \Sponsor GEM access system as a distinctive system of institutional arrangements, is \On the one hand through the listed issuer counseling and ongoing supervision, can effectively guarantee the quality of listed companies; the other hand, as a regulator and a bridge between the issuer and the securities regulatory agencies actively communicate, able to cope with the Securities regulators and self-regulatory organizations supervision of listed companies, thereby reducing regulatory costs, improve regulatory effectiveness. This paper focuses on the sponsorship system in the operation of GEM countries, analyze its listing on the GEM access the role of regulators in order to explore the GEM access strengthen supervision and eventually settled in China Construction and sponsor regime improvement. This paper is divided into three parts: The first part: The state sponsor regime on access GEM discussed the necessity of regulation. From GEM concept, characteristics and developments introduced to analyze the risk of the GEM Listing access their characteristics, indicating the risk of the GEM Listing admittance rooted loose listing standards, and the introduction of the role of the sponsor system is on reducing \Low threshold \Outlines the basic concepts of the sponsor system, the Sponsor's business and responsibility, and then analyzes the sponsor regime for regulated access to the GEM Listing fundamental role. Part II: discusses the sponsorship system construction background, namely GEM access basic mode of regulation. GEM access regulation mode basically divided into: the approval system and self-discipline registration system. This section is divided into two clues discussed, one of the regulatory model GEM access discussion, one of the GEM Listing audit system described. This section discusses the government-led, respectively, regulatory approach and discipline-oriented regulatory model regulatory philosophy, and Mainland China, USA, UK, Hong Kong as an example of different legal systems under the regulatory model arrangements for the brief; another shallow analyzed the issue of two basic institutional audit system - registration system and approval system for different system elements and representative system were outlined to illustrate the Sponsor System in the background and in a different regulatory approach embodied in value. Part III: Through the United Kingdom, Hong Kong sponsorship system analysis to further explore the sponsorship system for GEM access monitoring function. This section introduces the British and Hong Kong GEM sponsor regime, the United Kingdom and Hong Kong GEM AIM sponsor relatively complete system, the UK system fully embodies sponsor sponsorship system in the self-registration system under the role of the regulatory system, while Hong Kong's sponsor regime embodies the sponsorship system in self-registration system and his law under the approval system combines the role of the regulatory regime, the basic aim to present the sponsorship system features and functions. Then research in mainland China GEM sponsor system to build, on the Chinese mainland GEM sponsors Perfection recommendations. In short, the text in order to access the risk of the GEM Listing starting to sponsor system as the starting point and focus of discussion to explore the regulation of the GEM Listing entry, and finally through the Sponsor An International Comparison, settled in China GEM sponsor system improve and strengthen China GEM access regulation.

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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