本文選題：保薦代表人 + 保薦代表人制度�。� 參考：《復旦大學》2014年碩士論文

【摘要】：我國自2004年頒布《證券發(fā)行上市保薦制度暫行辦法》后正式推行保薦代表人制度。這一制度明確了保薦代表人在證券發(fā)行市場的作用和職責,發(fā)揮了中介機構(gòu)在證券市場上對發(fā)行人的約束效果。保薦代表人制度的實施對于規(guī)范我國證券市場的發(fā)展起到了很大的作用,但是目前對于保薦代表人的監(jiān)管還存在一定的空缺,保薦代表人徇私舞弊的行為時有發(fā)生。因此建立一個系統(tǒng)的評價體系對充分發(fā)揮保薦人的作用、保護投資者利益,非常有必要。本文借鑒評價體系建立的理論與方法,梳理國內(nèi)外學者有關保薦機構(gòu)、保薦業(yè)務等方面的文獻,同時對業(yè)內(nèi)資深人士訪談,結(jié)合專家法構(gòu)建評價體系,最后運用主成份因子分析,得出國內(nèi)所有保薦代表人得分。有關保薦代表人的數(shù)量化評價體系在國內(nèi)學術(shù)界屬于首創(chuàng),因此本文也有一些不足。
[Abstract]:The sponsor system has been implemented since 2004. This system clarifies the role and responsibility of the sponsor representative in the securities issuance market and exerts the binding effect of the intermediary institution on the issuer in the securities market. The implementation of the sponsor representative system has played a great role in standardizing the development of the securities market in China, but there is still a certain vacancy in the supervision of the sponsor representative, and the practice of favoritism and fraud occurs from time to time. Therefore, it is necessary to establish a systematic evaluation system to give full play to the role of sponsors and protect the interests of investors. This paper draws lessons from the theory and method of establishing the evaluation system, combs the literature of the domestic and foreign scholars about the sponsor organization, the sponsor business and so on, at the same time, interviews the senior personages in the industry, and combines the expert method to construct the evaluation system. Finally, the principal component factor analysis is used to get the score of all the sponsor representatives in China. The quantitative evaluation system of sponsor representative is the first in domestic academic circles, so this paper also has some shortcomings.
【學位授予單位】：復旦大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：F832.51

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本文編號：1869929