The Issues of How the Applicant Emerging Companies Apply to the Securities and Exchange Law

• Main Authors: CHEN,CHIEN-YUN, 陳倩芸
• Other Authors: WANG,ZHI-CHENG
• Format: Others
• Language: zh-TW
• Published: 2014
• Online Access: http://ndltd.ncl.edu.tw/handle/2we3km

碩士 === 國立中正大學 === 財經法律學研究所 === 102 === This thesis focuses on the issues of how to apply the Securities and Exchange Law on emerging companies. Although the emerging stock market has been established over 13 years, the number of research on the legal and regulating aspect is still very much limited. This thesis is expected to facilitate and contribute to the development of legal and regulating aspect of emerging stock market. This thesis is divided into six chapters. First illustrates the motivation, purpose, scope and methods of this research, then analyzes and compares the difference of the regulations between the Taiwan Stock Exchange market and the Over-the-Counter market. In addition, this chapter will introduce the Go Incubation Board for Startup and Acceleration Firms and the development of the America’s OTCBB. Chapter 3, firstly, is to base on the merit of the emerging stock market application to address the issues regarding the application of the Securities and Exchange Law on emerging stock market, and present solutions to resolve the issues. Secondly, is to introduce the recommending securities firm’s liability when issuer filed an application to the emerging stock market. Chapter 4 and Chapter 5 focuses on the corporate governance issues and variety types of securities fraud, including the independent director, remuneration committee, insider shareholdings, and the corporate disclosure of the information, to analyze the current status of the implementation of Securities and Exchange Law on emerging stock market. Then analyze insider trading, short swing trading, and market manipulation how to apply above related securities regulations on emerging stock market. Chapter 6 presents conclusion and offers solutions on addressed issues.