美国证券集团诉讼首席原告制度对我国证券诉讼的借鉴意义

发布时间：2018-01-31 20:06

本文关键词： 证券集团诉讼首席原告代表人诉讼　出处：《北京化工大学》2011年硕士论文　论文类型：学位论文

【摘要】：当下世界各国解决证券侵权纠纷最流行的诉讼是证券集团诉讼,美国的证券业最为发达,同时也是证券诉讼法律制度最为完善的国家之一。在美国,首席原告制度作为证券集团诉讼的最主要制度之一,有着不可替代的地位。首席原告是证券集团诉讼的主要参与人,没有首席原告,集团诉讼根本无法提起,也就没有集团诉讼制度。首席原告代表原告集团进行诉讼,他不仅享有代表原告集团的诉讼权利,而且承担维护原告集团利益最大化的义务。因此,对首席原告既要审查其是否尽职尽责,又要监督其是否滥用职权。本文以我国证券代表人制度的理论研究现状为基础,结合相关实务案例,借鉴美国证券诉讼立法,运用综合研究、比较分析的方法,论述在我国建立和完善证券代表人诉讼制度,并提出相应的立法建议。本文共分为正文和结语,其中正文又包含四个章节,具体内容包括：第一章：绪论。本章论述了选题的意义,研究的现状以及研究方法。第二章：证券代表人诉讼在实践中的困惑。以典型的实务案例为切入点,折射出我国代表人诉讼存在的弊端。第三章：美国证券诉讼首席原告制度。针对前一章,本部分主要介绍了美国证券集团诉讼首席原告制度的确立标准、资格限制、确认程序、退出规则、权限以及监督等方面。第四章：我国证券代表人制度的完善。本章是全文的核心所在,也是本文的创新章节。本部分主要论述建立和完善代表人制度的确立标准、资格限制、确认程序、退出规则、权限以及监督等方面的内容,通过上述立法建议为建立和完善代表人制度提供有力的保障。
[Abstract]:At present, the most popular litigation in the world to solve securities infringement disputes is the securities group litigation, the securities industry in the United States is the most developed, but also one of the most perfect legal system of securities litigation in the United States. The lead plaintiff system, as one of the most important systems in the securities group litigation, has an irreplaceable position. The lead plaintiff is the main participant in the securities group action. Without the lead plaintiff, the class action can not be brought. There is no class-action system. The lead plaintiff on behalf of the plaintiff group litigation, he not only has the litigation rights on behalf of the plaintiff group, but also bear the obligation to maintain the maximum interests of the plaintiff group. The lead plaintiff should not only review its due diligence, but also supervise its abuse of power. This paper based on the current situation of theoretical research on the securities representative system in China, combined with relevant practical cases. Referring to the legislation of securities litigation in the United States, using the method of comprehensive research and comparative analysis, this paper discusses the establishment and perfection of the system of representative litigation of securities in our country, and puts forward corresponding legislative suggestions. This paper is divided into the text and the conclusion, in which the text contains four chapters, the specific content includes: Chapter 1: introduction. This chapter discusses the significance of the topic, research status and research methods. Chapter two: the confusion in practice of securities representative litigation, which reflects the defects of representative litigation in our country with typical practical cases as the starting point. The third chapter: the securities litigation lead plaintiff system in the United States. According to the previous chapter, this part mainly introduces the establishment standard, qualification limit, confirmation procedure, withdrawal rules of the American securities group litigation lead plaintiff system. Authority and supervision. Chapter 4th: the perfection of China's securities representative system. This chapter is the core of the full text, but also the innovative chapter of this article. This part mainly discusses the establishment and improvement of the representative system of the establishment of standards, qualification restrictions. Confirm the procedure, withdraw rules, authority and supervision, and provide effective protection for the establishment and improvement of representative system through the above legislative proposals.
【学位授予单位】：北京化工大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D925.1;D971.2

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