本文關(guān)鍵詞：我國股票發(fā)行注冊制保障機(jī)制研究　出處：《河北師范大學(xué)》2017年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 股票發(fā)行 注冊制 實行條件 保障機(jī)制

【摘要】：當(dāng)前世界證券市場上股票發(fā)行審核制度主要有核準(zhǔn)制和注冊制兩種審核模式,目前我國實行的是核準(zhǔn)制的審核發(fā)行模式。雖然這是由我國的證券市場發(fā)展基礎(chǔ)及相關(guān)的配套設(shè)施等各種因素決定的但是隨著近些年我國經(jīng)濟(jì)的持續(xù)高速發(fā)展,當(dāng)前證券市場的股票發(fā)行核準(zhǔn)制的審核模式已經(jīng)越來越難以滿足證券市場的發(fā)展需求且存在的矛盾日益尖銳。所以我國的注冊制改革勢在必行,雖然近幾年國家出臺了相關(guān)的注冊制改革的措施但是相關(guān)措施卻遲遲無法落實,深究其背后原因有投資者理性投資理念尚未形成的原因也有與注冊制相關(guān)的配套保障措施不完善不到位有關(guān),所以為落實我國注冊制的改革方案,本文將從多個方面闡述如何推進(jìn)我國注冊制的方案的落實。本文分為引言和正文兩大部分。引言部分主要講述了我國注冊制改革的背景及改革的必要性,改革的目的和實施改革方案的可行性等這幾個方面。正文主要從三個方面講述了對我國股票發(fā)行注冊制保障機(jī)制的研究。第一部分主要講述了我國股票發(fā)行注冊制的改革方案及其實行條件,首先說明了股票發(fā)行注冊制的含義及優(yōu)點以及建立“監(jiān)審分離”制度和建立注冊制實施保障機(jī)制分階段逐步推進(jìn)注冊制改革這四個方面詳細(xì)講述了我國股票發(fā)行注冊制的改革方案。最后從股票市場應(yīng)是一個較為成熟的市場控制上市公司總數(shù)擁有完善的退市機(jī)制,證券監(jiān)管體系比較完善構(gòu)建和完善投資者保護(hù)的法律環(huán)境這四個方面講述了我國股票發(fā)行注冊制改革方案的實行條件。第二部分主要講述了對世界主要資本市場注冊制的實行現(xiàn)狀以及對我國注冊制改革的啟示。從美國、日本、中國香港、中國臺灣這四個成熟的證券市場講述了世界主要資本市場注冊制的實行現(xiàn)狀以及對我國注冊制改革的啟示。例如美國證券市場成熟的監(jiān)管模式日本高效的發(fā)行注冊制審核模式以及中國香港審核制與注冊制相結(jié)合的模式和中國臺灣有效的改革經(jīng)驗等。啟示我國證券市場改革要加強(qiáng)監(jiān)管完善配套設(shè)施完善相應(yīng)的法律法規(guī)等。第三部分主要講述了如何建立和完善我國實行注冊制的保障機(jī)制通過建立的保障機(jī)制推動我國注冊制改革方案的落實。從建立完善強(qiáng)化事后監(jiān)督約束機(jī)制和力監(jiān)管充分有效的發(fā)揮證監(jiān)會的監(jiān)督職能角度構(gòu)建注冊制的保障機(jī)制中的監(jiān)管制度,從修改《證券法》優(yōu)化新股發(fā)行制度和嚴(yán)格信息披露制度的配套與完善和建立嚴(yán)格的退市制度三個方面構(gòu)建注冊制的保障機(jī)制中的相關(guān)配套措施。
[Abstract]:At present, there are two kinds of auditing modes in the world stock market: the approval system and the registration system. At present, China is implementing the approval system of the audit and issuance model. Although this is determined by the development of China's securities market and related supporting facilities and other factors, but with the sustained and rapid development of our economy in recent years. At present, it is more and more difficult to meet the needs of the development of the securities market and the contradictions of the audit mode of the stock issuance and approval system in the securities market are becoming increasingly acute. Therefore, the reform of the registration system in our country is imperative. Although in recent years the country has introduced the relevant registration system reform measures, but the relevant measures have not been implemented. The reasons behind it are the investors' rational investment concept has not yet formed, but also the registration system related to the imperfect supporting safeguards are not in place, so that the implementation of China's registration system reform program. This paper will elaborate from many aspects how to promote the implementation of the registration system in China. This paper is divided into two parts: introduction and text. The introduction mainly describes the background and the necessity of the reform of the registration system in China. The purpose of the reform and the feasibility of implementing the reform scheme. The text mainly describes the research on the security mechanism of the registration system of stock issuance in China from three aspects. The first part mainly describes the registration of the stock issue in China. The reform plan and the conditions for its implementation. First of all, it explains the meaning and advantages of the registration system of stock issue and establishes the separation of supervision and trial. This paper expounds in detail the reform scheme of the registration system in China from the four aspects of establishing the registration system and establishing the guarantee mechanism for the implementation of the registration system. Finally, the stock market should be a more mature market control. The total number of listed companies has a complete delisting mechanism. The four aspects of perfecting the legal environment for the protection of investors in the securities regulatory system describe the conditions for the reform of the registration system of stock issuance in China. The second part mainly deals with the implementation of the major capital markets in the world. The present situation of the implementation of the registration system and its enlightenment to the reform of the registration system in China. Japan, Hong Kong, China. The four mature securities markets in Taiwan, China, describe the current situation of the registration system in the world's major capital markets and its implications for the reform of the registration system in China. For example, the mature regulatory model of the US stock market, Japan's efficient issuance note. The audit mode of register system, the mode of combination of audit system and registration system in Hong Kong, and the effective reform experience of Taiwan, etc., etc. The enlightenment of the reform of China's securities market is to strengthen supervision, perfect supporting facilities, perfect the corresponding laws and regulations, and so on. The third part mainly describes how to establish and perfect the guarantee mechanism of implementing the registration system in our country. By establishing the safeguard mechanism, we can promote the implementation of the reform scheme of the registration system in our country. Supervision fully and effectively exerts the supervision function of the CSRC to construct the supervisory system in the safeguard mechanism of the registration system. This paper discusses the relevant measures of establishing the registration system from three aspects: the revision of the Securities Law, the optimization of the new issue system and the strict information disclosure system, and the establishment of a strict delisting system.
【學(xué)位授予單位】：河北師范大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：F832.51

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