公經濟法領域於臺灣長期未受到應有之注意,本文希望藉由探討臺灣證券交易市場之監理,達到拋磚引玉之效果。惟鑒於證券交易市場監理所涉領域甚廣,且已有部分針對其中證券商監理部分進行分析探討,故本文擬以「證券交易所對於上市公司之管理」作為研究核心。 自第二章開始,將先行介紹證券交易所與證券交易市場監理之關係,包括1)證券交易所的源起與發展,2)證券交易所監理市場之理論依據及3)臺灣證券交易市場監理之概況,並同時介紹分析臺灣證券交易所之法律地位與監理市場之權限來源。緊接著第三章中,本文將嘗試分析臺灣證券交易所就上市公司監理之各項行為進行分析研究,包含1)營業細則、2)上市審查、3)上市契約、4)檢查上市公司及5)拒絕配合檢查處置等之法律性質,進而發掘相關潛在問題。於第四章中,藉由介紹美、日兩國對於證券交易市場監理與證券交易所之弊端改革,本文希望能汲取其經驗,作為我國將來改革之參考。最後第五章,本文將作成結論與提出相關展望。
In Taiwan, “Public-Economic Law” has not received proper attention for a long time. This dissertation intends to draw people’s attention to the aforesaid subject through looking into the Regulation of Taiwan Stock Market. As the aforesaid topic covers wide range of issues and the issues about securities dealers had been discussed, this dissertation will mainly focusing on the Supervisory and Regulation of Securities Listing on TWSE. From the Chapter 2, the relationship of the exchanges and the regulation of securities exchange market will be introduced, including 1) the origin and development of the exchanges, 2)the theory of authorising the exchanges to mointer markets, and 3) the current profile of Taiwan’s regulation toward securities markets. Then, the legal nature of TWSE and the origin of its power to regulate the market will also be discussed in this Chapter. Next, in the Chapter 3, this dissertation is going to analyze the TWSE’s activities of regulating and supervising the securities listing on TWSE in order to the potential problems and issues. Through looking into USA and Japanese reforming the regulation of securities markets and the exchanges, this dissertation intends to absorb their experience for the future reform of TWSE in the Chapter 4. Last, the Chapter 5 will conclude this dissertation and provide some suggestion.