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中文题名:

 论证券公益诉讼的程序构建    

姓名:

 廖雅雯    

学科代码:

 030106    

学科专业:

 诉讼法学    

学生类型:

 硕士    

学位:

 法学硕士    

学位年度:

 2015    

校区:

 北京校区培养    

学院:

 法学院    

研究方向:

 诉讼法学    

第一导师姓名:

 袁达松    

第一导师单位:

 北京师范大学法学院    

提交日期:

 2015-06-26    

答辩日期:

 2015-05-30    

外文题名:

 THE PROCEDURE CONSTRUCTION OF SECURITIES PUBLIC INTEREST LITIGATION    

中文摘要:
《证券法》修改通过立法形式推进股票发行注册制改革《证券法》关于股票发行注册制的修订,充分发挥以发挥了市场在资源配置中的决定性作用,但是随之而来的相关法律问题也随之而来暴露无遗。例如,——证券市场的虚假陈述、内幕交易、操纵市场等。此类违规违法违法违规行为危害范围较广,在加之信息严重不对称等因素、证券投资者人数众多且诉讼能力较为不足的情况下,受侵害的多为不特定证券投资人的聚合性公共利益和相关公益极易受到侵害:,制度的缺失现已严重威胁到了资本市场的有效性和稳定性以及相关社会公共利益。公益程序救济在证券业市场化中下公益程序救济的缺失意味着证券公益请求权的缺位,因此,亟需明确证券公益的范围,构建证券公益诉讼程序,救济对受损的公众投资者及证券公益进行救济成为亟待解决的关键问题。本文分为两部分,第一部分为文章第1、2、3章是本文的第一部分。鉴于现有民事诉讼程序无法正常发挥证券公益诉讼作用的现状,笔者认为,如欲在,从构建证券公益诉讼程序的必要性出发,最大程度上保护因为证券公益亟待保护,就必须大力故应发展证券公益诉讼制度,但是现有民事诉讼程序的制约无法发挥证券公益诉讼的作用,所以构建完善的证券公益诉讼程序成为应有之义;当前,中国随后探讨构建我国证券公益诉讼的的可行性较强,这主要有赖于以下体现在三个方面:公益诉讼理论研究的充分性、司法实践的基础性、及司法制度的支持性方面;此外,并且域外证券相关公益诉讼程序为我国证券公益诉讼的程序的构建提供了参考蓝本,并用以专章进行分析。第4章是本文的第二部分第二部分为文章第4章。本章节,从原告资格、管辖、证据规则、审理方式、执行程序、调解、与和解程序诸方面出发,,具体阐述了证券公益诉讼的的程序构建构建。根据不同的证券公益类型和我国政治经济现状,笔者在分别讨论了分别赋予检察机关、行政机关、行业协会和公民个人以诉权的利弊的基础上,明确指出,应重点发展以公众投资者保护机构的诉讼主体资格,这不仅有利于改变诉讼中双方当事人的不平衡性,补偿证券投资者,而且还符合公益诉讼制度的价值取向。另外,本文还建议,今后应交由需配套案件集中金融审判庭专门管辖此类案件,采用特殊证据规则,充分发挥法院及法官的积极作用,并着重加强法院在执行问题上的职权性干预,大力推进建设立专业化的法院调解与当事人和解程序,争取尽快构建并完善我国证券公益诉讼程序的初步框架,从而以平衡相关证券公益的保护。
外文摘要:
Amendments of the Securities Act on registration system of stock issuance get the utmost out of the decisive function of the market in resource allocation. The accompanying relevant issues, however, are also exposed: misrepresentation, insider trading, market manipulation and other acts. All these illegal activities in stock market endanger a wide range, because of the information asymmetry and the large number of investors’ weak capacity to action, the public interest and related public welfare of polymerizability of not-specific securities investors are easily violated: the lack of systems threatens the effectiveness and stability of the capital market as well as the relevant public interest. The lack of the public welfare lawsuit procedures in securities industry means the absence of claim rights on securities public welfare, therefore, the range of securities public welfare must be clarified, the securities public welfare lawsuit procedures must be constructed, the injured investors and securities public welfare must be relieved.The first part of this thesis consists of three chapters. Given the current situation that the existing civil procedures cannot normally play the role of public interest litigation for securities, the author believes that the institutions of public interest litigation for securities should be vigorously developed and the improved judicial proceedings for public securities should be established in order to protect the public securities to the largest extent; at present, the feasibility of establishing public interest litigation for securities in China is strong, mainly depending on following three aspects, which are the sufficiency of research on public interest litigation theories, the fundamentality of juridical practice and the supportability of judicial systems; besides, related extraterritorial public interest litigation proceedings also provide chief sources for the establishment of China’s public interest litigation for securities.The fourth chapter is the second part of this thesis, which begins from aspects such as plaintiff qualification, jurisdiction, rules of evidence, methods of trial, executive routines, conciliation and reconciliation procedures, which specifically elaborates the establishment of procedures of public interest litigation for securities. According to different security public welfare types and our political and economic situation, writer discusses advantages and disadvantages of granting lawsuit right respectively to procuratorial organ, administrative organ, trade association and individual citizens and then points out we should focus on developing the lawsuit qualification based on public investors protection agency, it is not only beneficial to change the imbalance of both parties in lawsuit and compensate securities investors, but also it matches with public interest litigation system. In addition, the paper suggests that such cases should be specially governed by financial division and special evidential rules should be adopted. In this way courts and judges can give full play on it. Also, court needs to strengthen its power ful interference on execution, develop specialized conciliation or reconciliation procedures in order to build and perfect initial framework of our security public interest litigation procedure and further balance the protection on relevant public interest for security.
参考文献总数:

 72    

作者简介:

 [1] 袁达松,廖雅雯.论证券公益诉讼的程序构建.证券服务法评论[M],北京:法律出版社,2014(6).[2] 袁达松,廖雅雯.经济程序法研究述略——兼论经济审判庭的恢复与拓展.经济法研究[M],北京:北京大学出版社,2014(14).[3] 袁达松,廖雅雯.论证券公益诉讼证据规则的特别构建[A].中国证券法学研究会年会论文集[C],2014.    

馆藏号:

 硕030106/1506    

开放日期:

 2015-06-26    

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