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中国证监会于2003年10月颁布了《证券发行上市保荐制度暂行办法》(以下简称《暂行办法》),并于2004年2月1日正式实施,这标志着保荐制度在我国正式确立。2005年《证券法》也确认了保荐制度。其后,证监会对《暂行办法》进行了修改,于2008年12月颁布《证券发行上市保荐业务管理办法》,对保荐制度进一步完善。保荐制度在我国实施多年,其中暴露的问题也日益显著。有关保荐代表人在IPO中的尽责问题一直备受指责,而“胜景山河”事件引发了关于保荐代表人责任的更激烈的探讨。
The China Securities Regulatory Commission promulgated the Interim Measures for the Sponsor System of Securities Issuance and Listing (hereinafter referred to as the “Interim Measures”) in October 2003 and came into effect on February 1, 2004, marking the formal establishment of the sponsor system in China. The Securities Law of 2005 also confirmed the sponsorship system. Since then, the CSRC has amended the “Provisional Measures”, promulgated the Measures for the Administration of Sponsor Business of Securities Issuance and Listing in December 2008, and further improved the sponsor system. The sponsorship system has been implemented in our country for many years, and the problems exposed are also becoming increasingly obvious. The issue of due diligence on sponsorship representatives in an IPO has long been blamed, and the case for “The Scenery Mountain” triggered a more intense discussion of the responsibility of sponsor representatives.