论外商投资企业股票的发行及其法律规制

发布时间：2018-06-10 10:39

本文选题：外商投资企业 + 股份公司　；参考：《延边大学》2012年硕士论文

【摘要】：70年代末80年代初,随亚洲贸易的兴起和我国的改革开放的浪潮,促进了外商投资企业的产生及发展。从92年开始到2012年为止,整整20年外商投资企业介入到国内股市,给国内证券市场带来了生机。其中,2001年11月10日我国加入WTO,为了按照WTO的协议,我国政府更加重视外商投资企业在境内上市的作用。于2001年11月,我国政府发布《若干意见》,规定了外商投资企业上市发行股票的具体条件。此规定一出,外商投资企业在我国境内上市并发行股票就有了具体条件。之后,我国学术界以《公司法》和外商投资企业法的角度,讨论较多,而对外商投资企业上市的实质性问题研究极少。从2001年开始,针对实质性问题及相关人士提出要求,进行研讨。其中,除了政府所要达到的发展目标遇到的实际政策问题外,还有从中受益的外资领域人士意见较多。他们发表各自的意愿和建议：关于中国政府是否同意外商投资企业在境内公开发行股票的事项和随之带来的中国证券市场的冲击和同台竞争带来的利弊等等。于2010年4月政府出台《若干意见》再次表明了一贯地允许支持外商投资企业在境内上市的态度。学术界也是分几次讨论过实质性的研究：一是对于《公司法》与外商投资企业法的合并问题,这关系到新的商法立法理念。二是怎样在商法和经济法的基础上,把证券市场完全开放并能得到最大利益。故本文结合现有的理论,详细地分析了外商投资企业改制上市的具体条件及必要性,在总结政策沿革的基础上,为更好地发现问题并解决问题,比较了各国间的法律规制。本文的第一章,绪论部分简单介绍了研究现状,研究目的,研究范围及方法。本文的第二章,通过详细分析外商投资企业的一般理论,进一步揭示了外商投资企业对我国市场经济的重要性。又通过分析外商投资企业在境内公开发行股票上市的相关规定,重点阐述了外商投资企业改制上市的必要性及现实意义本文的第三章,分析我国现行法律规制及实际上市困难问题上,进一步提出了主要问题。本文的第四章,通过对美国,日本,香港证券市场的外企申请上市规定的介绍与比较,为更好地总结出对我国的证券市场的相关法律规制,并得到好的启发。本文的第五章,基于上文对我国外资企业股票发行的法律规制的研究,通过结合国内的实际发展情况和国外先进制度,提出了几点完善的建议。本文的第六章,主要是对全文的总的概括
[Abstract]:In the late 1970s and early 1980s, with the rise of Asian trade and the tide of reform and opening up in China, the emergence and development of foreign-invested enterprises was promoted. From 1992 to 2012, Foreign-funded enterprises intervened in domestic stock market for 20 years, which brought vitality to domestic stock market. China joined the WTO on November 10, 2001. In order to comply with the WTO agreement, our government pays more attention to the role of foreign-invested enterprises listed in China. In November 2001, the Chinese government issued some opinions, which stipulated the specific conditions for foreign investment enterprises to list and issue shares. This regulation, foreign-invested enterprises listed in China and issued shares on the specific conditions. After that, the academic circles of our country discuss more from the angle of "Company Law" and "Enterprise Law with Foreign Investment", but there are few researches on the substantive issues of listing of foreign-invested enterprises. From 2001 onwards, for substantive issues and related people put forward a request for discussion. In addition to the actual policy problems that the government has to achieve, there are many foreign investors who benefit from it. They expressed their respective wishes and suggestions: whether the Chinese government would agree to the issue of foreign-invested enterprises issuing shares in China and the consequent impact on the Chinese securities market and the advantages and disadvantages brought about by the competition with other countries. In April 2010, the government issued several opinions again to show its consistent attitude of allowing foreign-invested enterprises to be listed in China. The academic circles have also discussed the substantial research in several times: first, the merger of the Company Law and the Enterprise Law with Foreign Investment, which is related to the new commercial law legislation idea. Secondly, on the basis of commercial law and economic law, how to completely open the stock market and get the greatest benefit. Therefore, this paper, combined with the existing theories, analyzes in detail the specific conditions and necessity of the reform and listing of foreign-invested enterprises. On the basis of summarizing the evolution of the policy, in order to find the problem and solve the problem better, the author compares the legal regulation among the countries. The first chapter of this paper, the introduction part, introduces the research status quo and the purpose of the research. In the second chapter, through the detailed analysis of the general theory of foreign-invested enterprises, the importance of foreign-invested enterprises to the market economy of our country is further revealed. Through the analysis of the relevant provisions on the listing of foreign invested enterprises' shares in China, this paper focuses on the necessity and practical significance of the reform of the listing of foreign invested enterprises, the third chapter of this paper. This paper analyzes the current legal regulations and practical difficulties of listing in China, and further puts forward the main problems. Chapter IV of this paper introduces and compares the provisions of foreign companies applying for listing in the stock markets of the United States, Japan and Hong Kong. In order to better summarize the relevant legal regulations on the securities market of our country and get good inspiration, the fifth chapter of this paper, based on the above research on the legal regulation of the stock issuance of foreign-funded enterprises in China, By combining the actual development of our country and the advanced system of foreign countries, some suggestions are put forward. The sixth chapter of this paper is the general summary of the full text
【学位授予单位】：延边大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.28;D922.295

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