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针对境外八法域及国内现状的实证调研表明,各国/地区普遍重视发挥律师的信誉中介功能,希望借助其专业服务和尽职调查,防范欺诈、降低风险。针对资本市场中的律师执业,存在程度有别的规制介入,由强到弱大致依次为:我国台湾地区、美国、我国香港地区、德国、法国、韩国、英国和日本。其中,美国在萨—奥法案后显著增强了对证券律师的干预。律师作为资本市场“看门人”的职能受到强调,对委托人和公众投资者的义务面临再平衡。我国证券律师行业进一步发展,出路在于:准入市场化、职责明晰化、执业规范化、功能专业化,同时离不开监管部门的正确定位与引导。
The empirical research on the overseas eight jurisdictions and the current situation in China shows that countries and regions generally attach importance to giving play to the credit intermediary function of lawyers and hope that with their professional services and due diligence, they can prevent fraud and reduce risks. For lawyers practicing in the capital market, there are different degrees of regulation involved, ranging from strong to weak: Taiwan in China, the United States, Hong Kong, Germany, France, South Korea, the United Kingdom and Japan. Among them, the United States significantly strengthened its intervention in securities lawyers after the SAO Act. The lawyer’s role as capitalist “gatekeeper” is emphasized, with the obligation to clients and public investors to rebalance. The further development of China’s securities lawyer industry lies in the following aspects: marketization of access, clarification of duties, standardization of practice and specialization of functions; meanwhile, it is inseparable from the correct orientation and guidance of regulatory authorities.