非互助化证券交易所利益冲突的解决途径

下载PDF

导出

摘要非互助化导致证券交易所商业利益与公共利益的冲突,股东利益最大化的目标对交易所能否有效承担自律职能提出了挑战。为了克服利益冲突,强化自律职责,交易所在分离监管业务、完善治理结构等方面进行了积极探索,建立了不同的自律模式。此外,双重上市也应当成为解决利益冲突的途径之一。

作者李志君

机构地区大连民族学院法律系

出处《理论观察》 2013年第3期34-36,共3页 Theoretic Observation

基金教育部2010年度人文社科研究一般项目:证券自律组织民事责任豁免研究的阶段性成果(项目编号:10YJC820063) 中央高校基本科研业务费专项资金资助

关键词非互助化利益冲突证券交易所自律

参考文献10

1Stavros Gadinis and Howell E. Jackson. Markets as Regulators: A Survey [J. Southern California Law Review, 2007, (80):1249.
2Robert S. Kanmel.The Once and Future New York Stock Exchange: The Regulation of Global Exchanges [J3, Brook.J.Corp.Fin.& Com.L.,2007,(01):388.
3Reena Aggarwal, Allen Ferrell, Jonathan Katz. U.S. Securities Regulation in a World of Global Exchanges [EB/ OL3. (Working Paper No.146/2007), http://www.law.harvard. edldprograms/olin_center/,2009-02-10.
4John W. Carson. Conflicts of Interests in Self- regulation:Can Demutualized Exchanges Successfully Manage Them?19 (World BankPolicy Research ,Working Paper No. 3183,2003),[EB/OL). http://ssm.com/abstract=636602, 2009- 02-20.
5NYSE?Euronext Board Committees [EB/OL3. http:// www.nyse.eom/corpgovemanee/1137541581798.html,2011 - 03-01.
6谢增益.公司制证券交易所的利益冲突[M].北京:社会科学文献出版社.2007.
7John C. Coffee, Jr.. The Future as History: The Prospects for Global Convergence in Corporate Governance and Its Implications[J3. Northwestern University Law Review, 1999, (93).
8Amir N. Licht. Cross-Listing and Corporate Governance: Bonding or Avoiding? J3. Chicago Journal of International Law,2003,(4): 163.
9Andreas M.Fleckner. Stock Exchanges at the Crossroads[J. Fordham Law Review,2006,(74):2616.
10Raghav Sharma & Tarun Jain. Cross Listing of Stock Exchange: Strengthening Self-regulation?[EB/OL3. http: //ssrn.com/abstract= 1111978,2009-03 - 10.

理论观察

2013年第3期

内容加载中请稍等...