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证监会能否行政规制保荐人高管不但是一个执法是否有据的问题,而且是一个理论上有待澄清的问题。对于此,本文首先分析了证监会公布的执法依据,并寻找了国内立法上的其他实证依据;其次,通过比较法上对比发现了并非我国内地独家设置了行政监管机构可以行政处罚保荐人高管的援证;最后,在理论上本文透过法律关系来判析证监会并非不是此类行政处罚法律关系的主体,也经由公权与私权边界的剖析在应然上论证了证监会对保荐人高管进行行政处罚是否逾越了行政权力应停当停之处的界限。
Whether the SFC can administer the executive sponsor executive is not only a question of whether law enforcement is well-founded, but also an issue to be clarified theoretically. To this end, this article first analyzes the basis for law enforcement announced by the Commission, and finds other empirical evidence on the domestic legislation; secondly, through comparative law found that not the exclusive set of administrative agencies in mainland China can administrative punishment sponsor executives Finally, in theory, this article through the legal relationship to judge the Commission is not not the subject of such administrative punishment legal relationship, but also through the analysis of public rights and the border of private rights should justify the SFC on the sponsor Administrative penalties of executives exceed the limits of administrative power should be stopped.