本文選題：保薦人　切入點：先行賠付制度　出處：《天津師范大學》2017年碩士論文　論文類型：學位論文

【摘要】：證券市場先行賠付制度即是在證券上市過程中存在虛假陳述或其他欺詐行為時,于行政和司法救濟之前,由相關發(fā)行人、保薦人、保薦代表人以及發(fā)行人管理層先行向投資者承擔連帶賠償責任,然后由先行賠付者向其他責任主體追償的一種制度1。在涉及證券發(fā)行的各類案件中,鮮有投資者能獲得充分救濟,其根本原因在于我國投資者保護制度的不完善,以至于投資者在維權過程中只能被動接受"和解"式的解決途徑。此外,在制定和解賠償方案、賠付方式過程中,投資者也缺乏有效參與,這不僅有違《證券法》中"公開"原則,更與"公平"原則相去甚遠。因而,為完善我國證券市場責任體系,彌補在證券發(fā)行過程中投資者保護救助不足的困境,應在《證券法》修改過程中,引入"先行賠付制度",對于完善我國證券投資機制以及推行"注冊制"有重要意義。本文從保薦制度入手,分析保薦人先行賠付制度的功能和性質,分析其理論意義。同時,借鑒保薦人先行賠付制度在實踐中的運用,分析保薦人先行賠付制度在實際中運用的模式、作用以及不足。在此基礎上,結合我國的實踐案例,從保薦人先行賠付制度的賠付主體、賠付標準和賠付方式等方面對保薦人先行賠付制度提出建議,以期在面對證券市場中的欺詐等問題時,保薦人賠付制度能夠合理靈活的解決誰來賠,賠多少,怎么賠等問題,從而及時化解群體糾紛,妥善維護投資者合法權益,保障證券市場穩(wěn)定運行。
[Abstract]:The advance indemnity system in the securities market is that, in the event of false statements or other fraudulent acts in the course of listing, the relevant issuers and sponsors shall, before the administrative and judicial relief, A system whereby the sponsor representative and the management of the issuer first assume joint and several liability to the investor, and then the advance payer recovers from other responsible parties 1.In all kinds of cases involving the issuance of securities, Few investors can get adequate relief, the fundamental reason is that the investor protection system in our country is not perfect, so that investors can only passively accept the "settlement" solution in the process of safeguarding their rights. In the process of compensation payment, investors also lack effective participation, which is not only contrary to the principle of "openness" in the Securities Law, but also quite different from the principle of "fairness." therefore, in order to perfect the liability system of China's securities market, To make up for the plight of insufficient protection and rescue for investors in the process of issuing securities, we should in the process of amending the Securities Law, The introduction of "advance indemnity system" is of great significance to the perfection of the securities investment mechanism and the implementation of the "registration system" in China. This paper, starting with the sponsorship system, analyzes the function and nature of the sponsor's advance indemnity system, and analyzes its theoretical significance. Referring to the application of sponsor advance indemnity system in practice, this paper analyzes the mode, function and deficiency of sponsor advance indemnity system in practice. On this basis, combined with the practice case of our country, In order to face the problems of fraud in the securities market, some suggestions are put forward from the aspects of the indemnity subject, the standard of indemnity and the way of indemnity in advance payment system of sponsor, and so on, in order to solve the problems of fraud in the securities market. The sponsor indemnity system can solve the problems of who will compensate, how much and how to compensate, so as to resolve the group dispute in time, safeguard the legitimate rights and interests of investors, and ensure the stable operation of the securities market.
【學位授予單位】：天津師范大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D922.287

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本文編號：1559750