securities issuance

Legal supervision extends to examination and approval of market access , securities issuance , stock exchanges , asset management and foreign exchange control .

法律监管的范围涉及市场准入审批、证券发行、证券交易、资产管理和外汇管理等方面。

Implementing the sponsor system is a significant transformation in securities issuance market , which exerts a deep and long-term influence in securities market .

保荐制度的出台是我国证券发行市场的重大变革，对证券市场产生了较为深远的影响。

Chapter ⅲ Regulation in Preparatory Phase of Asset-backed Securities Issuance .

第三章资产支持证券发行准备阶段的监管。

There are some defects , including securities issuance and transfer such as tax , tax base , repeat the narrow tax , the defects of the securities law has not fully functional .

它存在着一些缺陷，包括证券发行环节和移转环节等税制的缺失、征税的税基狭窄、存在重复课税现象等，这些缺陷都使得证券税法的功能得不到充分的发挥。

Firstly , this article introduces a brief overview of the meaning of the securities issuance , and the analysis of the legal characteristics of the issuance of securities , for the following of the paper .

本文首先简要的概述了证券发行的内涵，并且分析了证券发行的法律特征，为下文要用到的概念作铺垫。

Wall Street investment banks are expected to report strong second-quarter earnings starting tomorrow , as equity capital markets , advisory and asset management revenues offset a decline in mortgage-backed securities issuance .

从明天开始，预计华尔街投资银行将纷纷公布强劲的第二季度业绩，原因是股权资本市场、咨询和资产管理带来的收入，抵消了抵押担保证券（mortgage-backedSecurities）发行减少的影响。

As an important system arrangement to establish the market constraint mechanism for securities issuance and listing , the sponsor system plays an active role in enhancing the quality of listed companies and promoting the healthy development of securities market .

保荐制度是对证券发行上市建立市场约束机制的重要制度安排，实施以来，对提高上市公司质量和促进证券市场健康发展发挥了较大的积极作用。

Meanwhile , the quota system in securities issuance results in the emergence of the shell resource , becoming the trigger of control rights transference and directly contributing to the specific attribute of the Chinese market for corporate control .

同时，证券市场证券发行的额度制，导致了上市公司壳资源价值的出现，成为引发控制权转移的一大利益诱导机制，也直接导致了中国控制权市场的独立特征。

The special organizations and personnel in charge of issuing relevant documents for securities issuance must strictly execute their legal duties , and ensure that the documents issued by them are truthful , accurate , and complete .

为证券发行出具有关文件的专业机构和人员，必须严格履行法定职责，保证其所出具文件的真实性、准确性和完整性。

Including putting forward the overseas company domestic securities issuance , the legal regulation of Listing and trading system , the principles of supervision overseas listing , and some theoretic and practical recommendations of the delisting system of overseas companies .

探讨境外公司境内证券发行、上市及交易的法律制度，境外上市监管的原则、体系，以及境外公司退市制度的法律及实践建议。

In a market economy system , information is the key factor influencing trading behavior . In the stock market , as the major listed companies participate in the main , the securities issuance , circulation , and many other aspects of public responsibility and disclosure obligations .

信息是市场经济体系中的重要因素，它是交易行为发生的前提条件。作为证券市场的主要参与主体，上市公司有义务披露证券上市、发行、流通等环节的信息。

Then the article elaborated , on the basis of the public interest theory , upon major capital market in the world in such areas as securities ' issuance and listing , security trading , security intermediaries , self-regulation organizations .

在此基础上，论文从证券发行、上市、交易、证券商、自律机构等方面，对各国资本市场的监管制度作了具体的论证。

In the operation of asset-backed securities , regulatory agencies should adopt a comprehensive supervision and proper supervision attitude , from basic design of the system to the asset-backed securities issuance and trading .

对于资产支持证券的运作，监管机构应当采用全面监管、适当监管的态度，从基础制度的设计到资产支持证券的发行和交易，都不能放松监管。