证券市场保荐人制度的比较法考察  

On Sponsor System of Securities Markets from the Perspective of Comparative Law

作　　者：谈萧 Tan Xiao(School of Law, Guangdong University of Foreign Studies, Guangzhou 510420, China})

机构地区：[1]广东外语外贸大学法学院,广东广州510420

出　　处：《政法学刊》2017年第4期65-74,共10页Journal of Political Science and Law

基　　金：广东省第九轮重点培育学科"民商法学"建设项目

摘　　要：证券市场保荐人制度由保荐人资格、保荐责任和保荐期限三个核心要素构成。英国、马来西亚和香港证券市场的保荐人制度在全球最富代表性,这三个证券市场有关保荐人资格、保荐责任和保荐期限的法律规定和实践,对我国证券市场保荐人制度都具有一定的启发意义。其中,保荐人资格条件中有关资格申请人范围和诚信水平的规定,保荐责任中职业责任的分解承担机制和通过证券诉讼制度和证券赔偿制度配合保荐人连带责任的落实,以及保荐期限中的"终身制",尤为值得我国在完善证券市场保荐人制度时加以借鉴。The sponsor system mainly consists of sponsors＇ qualification,sponsors＇ obligation and sponsorship period. The system on securities markets all over the world has its own characteristics because of different market growth degree and legal tradition. This paper chooses the typical securities markets in Britain,Malaysia,and Hong Kong to comparatively analyze sponsors＇ qualification,sponsors＇ obligation and sponsorship period of the three markets. Then the paper puts forth suggestions on how to improve Chinese sponsor system in accordance with current development of Chinese securities market.

关 键 词：保荐人资格 保荐责任 保荐期限 

分 类 号：D913.996[政治法律—民商法学]