股权众筹平台监管的国际比较

被引：71

作者：

樊云慧 ^{[1
,2
]}

机构：

[1] 山西财经大学法学院

[2] 山西财经大学晋商研究院

来源：

法学 | 2015年 / 04期

关键词：

众筹; 股权众筹; 股权众筹平台;

D O I：

暂无

中图分类号：

F831.1 [银行制度]; D912.28 [金融法];

学科分类号：

摘要：

股权众筹平台作为连接筹资公司和投资者的中介,在股权众筹活动中居于中心地位,是股权众筹监管的核心。虽然世界各国对股权众筹平台的性质认识不一,但无一例外都对股权众筹平台或其运营人实施注册或许可,并对股权众筹平台可接纳的发行人或投资者普遍设定了要求或限制。借鉴国际经验并结合我国实际情况,可对股权众筹平台或其运营机构采许可制,并建立"众筹豁免"机制,即符合规定条件且通过被许可平台进行股权众筹的可豁免证券监管机构的审核。

引用

页码：84 / 91

页数：8

共 6 条

[1] SEC Proposed Rules on Crowd Funding. SEC. http://www.sec.gov/rules/proposed/2013/33-9470.pdf . 2013
[2] Crowd-funding:An Infant Industry Growing Fast. Eleanor Kirby,Shane Worner. Staff Working Paper of the IOSCO Research Department,SWP3/2014 . 2014
[3] Consultation Document:Crowdfunding in the EU-Exploring the Added Value of Potential EU Action. European Commission. http;//ec.europa.eu/internal_market/consultations/2013/crowdfunding/docs/consultation-document_en.pdf . 2013
[4] Section 767A,Section 791A of Corporations Act 2001 No.50,2001,as Amended. http;//www.comlaw.gov.au/Details/C2014C00519/Html . 2014
[5] The FCA’’s regulatory approach to crowdfunding over the internet,and the promotion of non-readily Realizable securities by other media-Feedback to CP13/13 and final rules. http://www.fca.org.uk . 2014
[6] Review of Crowdfunding Regulation-Interpretations of existing regulation concerning crowdfunding in Europe,North America and Israel. European Crowdfunding Network. http;//www.europecrowdfunding.org/wp-content/blogs.dir/12/files/2013/12/ECN-Review-of-Crowdfunding-Regulation-2013.pdf . 2013

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