论中国企业境外上市外资股的国际监管合作问题摘要市场发展中需要监管,监管更是重头戏。本文的目的是通过对我国公司境外上市监管方面的研究,在完善理论研究的基础上加强对境外上市公司的有效监管,希望能为今后对境外上市规定的全面修改提供帮助。关键词:境外上市;证券监管;法律冲突AbstractThedevelopmentneedsofthemarketsupervision,thesecuritiesmarketbecauseofitshighriskandtherecentoverseaslistingCorporationfalsestatementsandotherproblems,supervisioniskey.ThepurposeofthispaperisthroughthestudyofChina'soutsidethelistedcompanysupervision,strengthentheeffectivesupervisionofoverseaslistingCorporationbasedonperfectingthetheoreticalstudy,withaviewtothecomprehensiverevisionofoverseaslistingruleshelp.Keywords:overseaslisting;securitiesregulation;conflictoflaws目录目录......................................................................................................................1第一章境外上市的法律性质与监管框架.........................................................21.1境外上市的法律性质.............................................................................2（1）上市的概念..................................................................................21.2境外上市的意义.....................................................................................5第二章中国对于企业境外上市的监管.............................................................72.1监管依据.................................................................................................72.2监管措施...............................................................................................132.3监管存在的问题及建议对策...............................................................16第三章各国对中国企业监管的特征...............................................................193.1本国企业境外上市监管的基本特征...................................................193.2境外上市地对中国企业上市监管的基本特征...................................19第四章境外上市地对中国企业的监管...........................................................194.1上市地的监管制度概述.......................................................................194.2发行上市审核制度...............................................................................224.3信息披露制度.......................................................................................264.4违规责任追究制度...............................................................................28第五章中国与上市地之间的跨境监管合作...................................................315.1中国与外国的监管合作.......................................................................315.2内地与香港的监管合作.......................................................................33总结....................................................................................................................35第一章境外上市的法律性质与监管框架1.1境外上市的法律性质1.1.1境外上市的概念上市可分为境内上市和境外上市。境内上市是指我国企业在国内的证券市场(包括上海证券交易所与深圳证券交易所)申请发行股票、挂牌交易。境内上市是我国企业融资的重要途径,我国内地企业在国内发行上市的程序复杂,时间长达两年甚至四五年之久,且国内证券市场对企业的所有制、资本规模、盈利年限、主导行业、历史沿革等方面都有严格的规定,使得很多企业无法在境内上市获得融资。境外上市(overseasListing)是指国内股份有限公司向境外投资人发行股票,在境外公开的证券交易市场(包...
