發(fā)布時(shí)間：2018-12-27 12:44

【摘要】：在金融全球化的趨勢(shì)下,國(guó)際股票融資已經(jīng)成為發(fā)展中國(guó)家引進(jìn)外資新的增長(zhǎng)點(diǎn)。我國(guó)證券市場(chǎng)國(guó)際化還處于起步階段,國(guó)際股票融資的法律監(jiān)管體系本身存在諸多欠缺,文章通過(guò)梳理法律監(jiān)管基本理論,比較世界主要國(guó)家或地區(qū)的法律實(shí)踐,并對(duì)我國(guó)法律監(jiān)管中的審核制度、信息披露制度以及監(jiān)管體制方面進(jìn)行全面分析,為我國(guó)建立整個(gè)國(guó)際股票融資的法律監(jiān)管體系提供有益的建議和參考,促進(jìn)我國(guó)國(guó)際股票融資的長(zhǎng)遠(yuǎn)穩(wěn)定發(fā)展。 針對(duì)國(guó)際股票融資法律監(jiān)管的研究主要從五個(gè)方面進(jìn)行分析：首先,對(duì)國(guó)際股票融資及其法律監(jiān)管的概念進(jìn)行了界定,并從經(jīng)濟(jì)學(xué)、法理學(xué)兩個(gè)角度分析了對(duì)國(guó)際股票融資監(jiān)管的必要性、適度性、監(jiān)管目標(biāo)以及監(jiān)管原則,是其他各章的理論基礎(chǔ)。其次,從各國(guó)國(guó)內(nèi)法律監(jiān)管制度和國(guó)際法律監(jiān)管機(jī)制兩個(gè)方面進(jìn)行研究。在國(guó)內(nèi)層面上論述了主要國(guó)家對(duì)融資過(guò)程中的國(guó)有股跨國(guó)上市監(jiān)管制度、股票發(fā)行和上市中的監(jiān)管體制以及融資公司行為的法律監(jiān)管,分析了國(guó)際股票融資中產(chǎn)生的風(fēng)險(xiǎn)和監(jiān)管體系及其存在的問(wèn)題。在國(guó)際層面上主要通過(guò)信息共享機(jī)制和國(guó)際共同標(biāo)準(zhǔn)以及監(jiān)管合作機(jī)制的研究,論述了國(guó)際統(tǒng)一監(jiān)管合作的發(fā)展趨勢(shì)。再次,國(guó)際股票融資中的法律監(jiān)管沖突和協(xié)調(diào),并從國(guó)內(nèi)和國(guó)際兩個(gè)方面提出了協(xié)調(diào)法律沖突的機(jī)制,針對(duì)協(xié)調(diào)機(jī)制中存在的問(wèn)題,提出了相應(yīng)的解決對(duì)策。最后,指出了我國(guó)在國(guó)際股票融資中作為監(jiān)管體系上的缺陷和存在的問(wèn)題,并根據(jù)我國(guó)現(xiàn)實(shí)國(guó)情提出了完善的建議和構(gòu)想。
[Abstract]:In the trend of financial globalization, international stock financing has become a new growth point for developing countries to introduce foreign capital. The internationalization of China's securities market is still in its infancy, and there are many deficiencies in the legal supervision system of international stock financing. By combing the basic theory of legal supervision, this paper compares the legal practice of major countries or regions in the world. It also makes a comprehensive analysis of the auditing system, the information disclosure system and the regulatory system in China's legal supervision, which provides useful suggestions and references for the establishment of the whole legal regulatory system of international stock financing in China. To promote the long-term and stable development of international stock financing in China. The research on the legal regulation of international stock financing is mainly analyzed from five aspects: firstly, the concept of international stock financing and its legal regulation is defined, and the concept of international stock financing and its legal regulation is defined from the perspective of economics. This paper analyzes the necessity, appropriateness, aim and principle of supervision of international stock financing from two angles of jurisprudence, which is the theoretical basis of other chapters. Secondly, the domestic legal regulatory system and the international legal regulatory mechanism are studied. On the domestic level, this paper discusses the supervision system of the transnational listing of state-owned shares in the financing process, the regulatory system of the issuance and listing of stocks and the legal supervision of the behavior of the financing companies in the main countries. This paper analyzes the risk, supervision system and existing problems in international stock financing. On the international level, the development trend of international unified regulatory cooperation is discussed through the research of information sharing mechanism, international common standards and regulatory cooperation mechanism. Thirdly, the conflict of legal supervision and coordination in international stock financing is put forward, and the mechanism of coordinating legal conflict is put forward from both domestic and international aspects, and the corresponding countermeasures are put forward to solve the problems existing in the coordination mechanism. Finally, this paper points out the defects and existing problems of our country's international stock financing as a regulatory system, and puts forward some perfect suggestions and ideas according to the actual situation of our country.
【學(xué)位授予單位】：中南大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2011
【分類號(hào)】：D996.2;F831.51

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