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Investigation on Several Legal Issues of Securities Private Offering in China

Author: ChenDongLei
Tutor: HuangXiSheng
School: Chongqing University
Course: Legal
Keywords: Private placement Audit system Release the object Resale restrictions
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 72
Quote: 0
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Abstract


Private placement of securities as a capital market financing channels in China has formed a certain scale in China's legal system is still in a blank state about the provisions of the private system, however, the existence of de facto private market and the private placement of the legislation The existence of a serious lack of discord, it is necessary to develop a standardized system for the securities of a private placement, the reasonable operation of the system and the rules, in order to broaden the financing channels for enterprises to protect the interests of investors in the financing process, while protecting the safety of China's financial. This paper attempts to reference normative documents of the private placement regime of the United States and Taiwan on the basis of our current non-public offering system by building the legal system of China's securities private placement, in order to fully protect the interests of investors, and standardize the market order, the better promote the standardization of China's securities market, orderly, legalization. The paper described the background and significance of the thesis topics, presented late start of China's private equity market, the private legislation vacancy serious, at the same time to make in-depth analysis of China's private equity market and private legislative status quo, and then divided into chapters on the individual involved in the private placement problems. Audit system, first clear the current audit system for the approval system, the core of the private placement of securities that the exemption from registration, proposed that China wants to establish a system of private placement exemption from registration securities issued audit system must reform, the transition to the registration system, and then draw The United States and Taiwan legislation to establish securities private placement exemption from registration system. The ability to release objects from the relationship with the issuer's ability to obtain investment information, investment experience, owns property, risk of several aspects to consider the issue of object is limited to three categories, and set an upper limit on the issue of the number to ensure that private securities issued by non-openness. On the Private Securities resale problem, learn from the normative documents of the United States and China's Taiwan region suitable for China's national conditions, from a public offering of securities of an unusual type of resale of the number of the holding period, the assignee eligible and non-voluntary transfer and other aspects of the legislative proposals for China's securities market. In this paper, based on the analysis of the private placement of our securities legislation, through the United States and Taiwan of China's securities market, private placement inquiry of the legislative background and legal documents to reveal the nature of the private placement regime, which for China to establish a scientific system of private placement looking basis points institutionalized way.

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