上市公司环保核查法律制度研究

发布时间：2018-04-05 18:38

本文选题：上市公司　切入点：环保核查　出处：《华东政法大学》2011年硕士论文

【摘要】：上市公司环保核查法律制度自2001年施行以来已有10余年,此项制度在提高上市公司质量,保障投资者合法权益,加强上市公司环境管理,提升社会环境质量具有重要作用。然而,目前学术界对此项制度的研究很少,理论成果亦屈指可数。由于缺乏相应的理论指导,此项制度在实践中暴露出许多问题,亟需立法加以规范。本文通过历史分析、实证分析以及综合分析等方法,针对制度设计存在的缺陷,提出相应的完善建议。本文共分为四部分。第一部分是对上市公司环保核查制度的概述。本部分先梳理了上市公司环保核查制度的历史沿革,将其归纳为初创阶段和发展完善阶段,并认为目前上市公司环保核查制度正处于发展完善阶段。随后本文对上市公司环保核查制度的概念进行了界定,并归纳了它的三项基本原则,分别是“法定原则”,“公开、公平、公正原则”,“便民效率原则”。第二部分是对上市公司环保核查制度的必要性论证。本部分主要从环境法视角和商法视角两个层面对上市公司环保核查制度的必要性进行论证。从前者来看,上市公司环保核查制度既是规制企业环境行为的理想方法,又是保障公民环境权的重要工具。从后者来看,上市公司环保核查制度既是企业履行环境责任的重要体现,又是保护投资者利益的有效手段。第三部分是对上市公司环保核查制度的现状分析。本部分主要总结了上市公司环保核查制度的发展现状与现有立法规定。就发展现状而言,一是立法不断加快,但有关规定仍不完善;二是实施效果明显,但仍存在不少问题。就现有立法规定而言,本文从核查对象范围、核查管理体制、核查的内容与标准、核查基本程序,以及其他制度规定等六个方面,对上市公司环保核查制度的现有规定进行了梳理。第四部分是上市公司环保核查制度的主要问题与立法建议。本部分先对上市公司环保核查制度的主要问题进行分析,再针对问题提出相应的立法建议。就制度缺陷而言,本文主要归纳了六个方面,分别是立法体系的缺陷、立法理念的缺陷、管理体制的缺陷、核查制度的缺陷、配套制度的缺陷以及法律责任的缺陷。因此,本文提出应当健全立法体系,转变立法理念,理顺管理体制,完善核查制度,强化配套制度,以及落实法律责任。
[Abstract]:The legal system of environmental protection verification of listed companies has been implemented for more than 10 years since 2001. This system plays an important role in improving the quality of listed companies, protecting the legitimate rights and interests of investors, strengthening the environmental management of listed companies and improving the quality of social environment.However, the current academic research on this system is rare, theoretical results are few.Due to the lack of corresponding theoretical guidance, this system has exposed many problems in practice and needs to be regulated by legislation.Through the methods of historical analysis, empirical analysis and comprehensive analysis, this paper puts forward some suggestions to improve the system design.This paper is divided into four parts.The first part is an overview of the environmental protection verification system of listed companies.This part firstly combs the history of the environmental protection verification system of listed companies, and concludes it into the initial stage and the development stage, and thinks that the environmental protection verification system of the listed companies is at the stage of development and perfection.Then this paper defines the concept of environmental protection verification system of listed companies, and summarizes its three basic principles, namely, "legal principle", "openness, fairness, justice" and "convenience efficiency principle".The second part is the necessity of environmental protection verification system of listed companies.This part mainly demonstrates the necessity of environmental protection verification system of listed companies from the perspective of environmental law and commercial law.From the former point of view, the environmental verification system of listed companies is not only an ideal method to regulate the environmental behavior of enterprises, but also an important tool to protect citizens' environmental rights.From the latter point of view, the environmental verification system of listed companies is not only an important embodiment of enterprises' environmental responsibility, but also an effective means to protect the interests of investors.The third part is the analysis of the current situation of environmental protection verification system of listed companies.This part summarizes the development of environmental protection verification system of listed companies and existing legislative provisions.As far as the present situation of development is concerned, first, the legislation is speeding up, but the relevant regulations are still not perfect, and the second is that the effect of implementation is obvious, but there are still many problems.As far as the existing legislative provisions are concerned, this paper focuses on six aspects: the scope of verification objects, the verification management system, the contents and standards of verification, the basic procedures of verification, and the provisions of other systems.The existing regulations of environmental protection verification system of listed companies are combed.The fourth part is the main problems and legislative suggestions of the environmental protection verification system of listed companies.This part first analyzes the main problems of the environmental protection verification system of listed companies, and then puts forward corresponding legislative suggestions.As far as institutional defects are concerned, this paper mainly sums up six aspects: the defects of the legislative system, the defects of the legislative idea, the defects of the management system, the defects of the verification system, the defects of the supporting systems and the defects of the legal responsibilities.Therefore, we should perfect the legislative system, change the legislative idea, straighten out the management system, perfect the verification system, strengthen the supporting system, and carry out the legal responsibility.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.68

【引证文献】