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1、公司法、合同法、证券法三者之间联系（the common points among The Company Law、The contract Law and The Security）,1.公司法、合同法、证券法概述2.公司法与证券法之间的联系3.公司法与合同法之间的联系4.合同法与证券法之间的联系5.三者之间的共性,公司法、合同法和证券法的概述,李梦思 罗春玉,Company law,3,4,A company is an enterprise legal person（企业法人）, which has independent legal person property and enjoys
2、 the right to legal person property. It shall bear the liabilities（责任） for its debts with all its property.It is the law in relation to the governance of companies（公司治理） in the context of company incorporation, directors and shareholders.,What is company law?,5,What is company law?,This Law is enact
3、ed for the purposes of regulating the organization and operation of companies, protecting the legitimate rights（合法权益） and interests of companies, shareholders and creditors, maintaining the socialist economic order, and promoting the development of the socialist market economy.The law is essentially
4、 a businessman autonomy（商人自治）, must be the highest for the concept of autonomy, but the main different is the free consultation（自由协商） on company law in harmony to achieve the objectives of the most common form.,6,The Basic Principles of the Company Law,When conducting business operations, a company
5、shall:,comply with the laws and administrative regulations, social morality, and business morality.act in good faith, accept the supervision of the government（政府监管） and general public, and bear social responsibilities.,7,The Basic Principles of the Company Law,Directors, supervisors and senior offic
6、ers shall:,abide by laws, administrative regulations（行政规章） and the articles of association of the companyhave a fiduciary obligation and obligation of diligence（忠实义务和勤勉义务） to the company.not take advantage of their positions and powers to collect or accept bribes（贿赂） or other illegal income, and may
7、 not encroach upon the property of the company.,Securities Law,8,9,Securities Law: an overview,Securities law exists because of unique informational needs of investors. Securities are not inherently valuable（内在价值）; their worth comes only from the claims they entitle their owner to make upon the asse
8、ts and earnings（资产和收益） of the issuer or the voting power that accompanies such claims. Securities laws and regulations aim at ensuring that investors receive accurate and necessary information regarding the type and value of the interest under consideration for purchase.,10,What Are Securities?,Secu
9、rities exist in the form of notes（票据）, stocks（股票）, treasury stocks（库藏股票）, bonds（债券）, certificates of interest or participation in profit sharing agreements（任何息票或参与分红的证书）, collateral trust certificates（担保品信托证书）, preorganization certificates or subscriptions（公司成立之前的认股证）, transferable shares（可转让股份）, in
10、vestment contracts（投资合同）, voting trust certificates（具有投票权的信托证书）, certificates of deposit for a security（证券提存证书）, and a fractional undivided interest in gas, oil, or other mineral rights（石油、天然气或其他破产但未分割的持分权利）.,11,What Are Securities?,Certain types of notes, such as a note secured by a home mortgage（房
11、屋担保抵押票据） or a note secured by accounts receivable or other business assets（应收账款或其他商业资产担保的票据）, are not securities.,12,The Purpose of The Securities Law,Securities regulations are aimed at one goal to promote fair and full disclosure of all material information relating to the markets, and to specific
12、 securities transactions（具体证券交易）, including all aspects of market trading, as well as the financing and financial reporting（融资和财务报告） by public companies.,13,The Purpose of the Securities Law,The Law is formulated for the purpose of the protection of investors and promotion of efficiency, competition
13、, and capital formation. Regulating the issuance and transaction of securities, protecting the lawful rights and interests of investors, safeguarding the economic order and public interests of the society and promoting the growth of the market economy.,14,The Fundamental Principles of Security Law,T
14、he issuance and transaction（发行和交易） of securities shall adhere（遵循） to the principles of openness, fairness and impartiality（公开、公平、公正、原则）.The parties involved in any issuance or transaction of securities shall have equal legal status and shall persist in the principles of free will, compensation and i
15、ntegrity and creditworthy（自愿、有偿、诚实信用原则）.The issuance and transaction of securities shall observe laws and administrative regulations. No fraud, insider trading or manipulation of the securities market may be permitted.（不得欺诈、内幕交易或操纵证券市场）,15,Contract Law,16,A contract is a Promise or a set of Promise
16、for the breach of which the law gives a remedy,or the performance of which the law in some way recognizes as a duty.英美法系（Anglo-American Legal System）：合同是一项或者一系列允诺，将合同归结为当事人承担债务的单方意思表示。大陆法系（continental lagal system）：合同是双方的法律行为，是双方当事人的合意；,What is Contract Law?,17,Purpose of Contract Law,To protect the
17、 lawful rights and interests of contract partiesTo safeguard social and economic orderTo promote socialist modernization,18,principle of Contract Law,The principle of equalityThe principle of contract freedomThe principle of fairnessThe principle of good faithLaw-abiding principleIn accordance with the principle of contractual obligations,
