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On the sponsorship system

Author: WuJiangTao
Tutor: LiuYaTian
School: China University of Political Science
Course: Civil and Commercial Law
Keywords: Sponsor Stock market Intermediaries Representative Regulatory authorities Protection of investors Structure and composition Issuance and Listing Legal nature Responsibilities
CLC: D922.287
Type: Master's thesis
Year: 2006
Downloads: 642
Quote: 9
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Abstract


February 1, 2004, the sponsor regime formally implemented, marking the revolutionary changes in China's securities issuance and listing system, carrying the regulatory authorities, investors, issuers, intermediaries and other securities market the main types of heavy expectations. Sponsor regime is the part of the administrative supervision of the securities issuance and listing audit function of the market-oriented means, the characteristics of the system is to be introduced in the stock market Sponsor intermediaries in financing, investors, regulatory authorities play the role of the delicate balance in the tripartite game. Therefore, the sponsor regime around the stock market financiers, investors, the securities regulatory authorities tripartite game system design, the value of the system is that by clarifying the roles and responsibilities of sponsors and sponsor representatives and improve accountability mechanisms to play a Sponsor this particular intermediary body functions and improve the quality of listed companies, to oversee the audit listed companies securities issued behavior and conduct of operations, to prevent the occurrence of illegal activities of listed companies, to protect the interests of investors, stable stock market. However, China's securities market has established a relatively short time, the social credit system is far from perfect, the sponsor regime as a new system, system implementation and value of China's securities market to achieve, there are still many problems, the sponsor regime itself also need to continue to improve practice, this article will study and explore these issues. This article is constituted by three parts of the Introduction, body, and conclusion, which body part is divided into five chapters of sponsors of the relevant law studied and discussed: the first chapter on the definition of the sponsorship system, the Sponsor of the legal nature and characteristics of the analysis and discussion. First introduced the definition and the definition of the Sponsor of the sponsor system, and then analyze the legal nature and characteristics of the Sponsor and the Sponsor and the guarantor of civil law, listed in the Securities Act recommended by a comparative analysis to Sponsor the legal nature and characteristics of the connotation of the system and the Sponsor have a more in-depth understanding. The second chapter on the legal value of the sponsorship system and principles discussed and analyzed. First analysis of the legal value of the sponsorship system, the value of the fair value of the sponsorship system, security, value and efficiency are discussed. Secondly, the legal principles of the sponsor regime, on the the sponsor regime embodied in the principle of protection of the interests of investors, the duties and responsibilities of the sponsor legal principle of good faith and diligence diligence principles and administrative regulation and self-regulation principle of combining analysis, and put forward the principle of the protection of investors' interests is the most important principle of the sponsor regime. Chapter Three main types of outside sponsorship system were studied and compared. First introduced the Alternative Investment Market (AIM), the Nasdaq market in the United States, the Canadian Venture Exchange, Malaysia second board market (the MESDAQ), the sponsor of the Hong Kong Stock Exchange system, then the above countries and regions sponsorship system from the structure of the Sponsor, the term of office of the qualifications of the Sponsor, the Sponsor, the Sponsor responsibilities institutional comparative analysis, and finally summarize sponsor regime for the countries and regions to explore Sponsor structures system and the development trend of the tenure system, analyze the common characteristics of the sponsor qualifications system and the system of responsibility. The fourth chapter analyzes and discusses some of the problems our sponsor regime. Focus on the sponsor regime Sponsor structure composition of the sponsor representative qualifications, term of office of the Sponsor, the relationship and the rights and responsibilities of sponsors and sponsor representatives, the Sponsor and the Issuer and other intermediaries allocation of responsibility, the responsibility of the sponsor system problems, and so on several aspects of the deficiencies in the system to conduct a comprehensive analysis and investigate the cause of Sponsor lacunae in the legal, economic and social reasons. Chapter Chapter IV on the basis of comprehensive analysis, reference to the successful experience of the outside sponsorship system, the problems of the sponsorship system in China to make some suggestions, including the adjustment of the Sponsor structure, to extend the mandate of the Sponsor, perfect sponsor representative Assessment of qualification certification system, clear the Sponsor and sponsor representatives relationships and responsibilities to clearly define the responsibility of Sponsor issuers and intermediaries, increase penalties for serious illegal Sponsor, improve the civil liability and criminal liability of the sponsor system and so on.

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CLC: > Political, legal > Legal > Chinese law > Financial Law > Securities and Management Act
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