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The Research on the Sponsors’ Civil Liability in Securities Market

Author: MeiLinFang
Tutor: LiuYinLiang；LiJianPing
School: Inner Mongolia University
Course: Legal
Keywords: sponsor system Sponsor Securities Market civil liability
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 84
Quote: 0
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Abstract


Implementing the sponsor system is a significant transformation inprimary market, whichexerts a deep and longterm influence on our securities market However, any system might not be perfect at its commence, neither does the sponsor system, which still exists a lot of problems and has a bottleneck for small and medium2sized enterprises’IPO. This paper proceeds with the background and body content of the sponsor system, On the basis of the characteristic of securities business and the present situation of our country, this text carries on analysis towards legislative thinking and function of sponsor’s liability, analyses its drawbacks and on this case proposes some policy suggestion for improving the exist2ing sponsor system.This article is composed of four parts. in the first place. the author analyzes the property of the sponsor. puts forward the unfavorable factors and analyzes the qualification of sponsor institutions and sponsors,andthe management on the sponsor’s qualificationand so on. The sencond part geivs the sumerrise of the civil legal.Sponsors sponsors in the process of including the three stages of the statutory obligations,recommended due diligence obligations,continuing obligations of supervision,disclosure of information security obligations.Breach of the obligations,sponsor of the investors tort liability and responsibility to guarantee sponsors. The third chapter practically analyzes the sponsor system,introduces many kinds of foreign sponsor system.All these could be the reference for the perfectionof China’s sponsor system. The fouth chapter is about the legislation improvement of our sponsor,some advice forthe improvement of our sponsor’s system has been put forward.

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