证券执法行政和解制度研究

发布时间：2018-09-14 12:05

【摘要】：经国务院批准,证监会于2015年公布了《行政和解试点实施办法》,这是我国在证券执法制度上的重大创新,对于保护投资者利益、规范证券市场,具有重要的现实意义。当前,我国证券市场日益成长,证券监管任务不断加重,单一的执法模式已经不能应对复杂的证券市场。基于我国证券市场的现状以及保护投资者利益的目的,证监会把行政和解作为证券监管的新措施,无疑是明智的,同时也是顺应现实需要的选择。伴随着证券行政和解制度在我国证券领域的正式实施,行政和解在证券执法过程中发挥着重要的作用。行政和解制度在证券领域的应用不仅体现了公法和私法的结合,更具有划时代的现实意义。证券执法行政和解这种在行政程序中解决民事问题的执法方式,体现证券行政执法的协商行政、民主行政特点,是我国证券监管值得探索的方向。正因如此,证券执法和解制度更需要不断接受来自于证券市场的实践检验,以期更好地发挥保护投资者、规范证券市场的作用。论文以证券执法行政和解的概念及其理论基础为出发点,分析讨论了证券行政和解的特点以及价值,并对英国、美国等域外的证券行政和解制度进行了探讨,在此基础之上,对我国的证券执法行政和解制度进行具体剖析,分析我国证券执法行政和解程序中的启动、协商、决策、执行、和解金的确定、支付以及分配等问题,并结合证券和解的案例来讨论分析我国证券执法行政和解制度的运行实效,探讨我国证券执法行政和解制度的完善。
[Abstract]:With the approval of the State Council, the Securities Regulatory Commission promulgated the "measures for the implementation of Administrative Reconciliation pilot" in 2015, which is a major innovation in China's securities enforcement system and has important practical significance for protecting the interests of investors and standardizing the securities market. At present, the securities market of our country is growing day by day, the task of securities supervision is becoming more and more serious, and the single law enforcement mode can no longer cope with the complex securities market. Based on the present situation of China's securities market and the purpose of protecting the interests of investors, it is no doubt wise for CSRC to take administrative reconciliation as a new measure of securities supervision, and it is also a choice to meet the needs of reality. With the formal implementation of securities administrative settlement system in China, administrative reconciliation plays an important role in the process of securities enforcement. The application of administrative reconciliation system in the field of securities not only embodies the combination of public law and private law, but also has epoch-making practical significance. The administrative reconciliation of securities law enforcement, which solves the civil problems in the administrative procedure, embodies the characteristics of consultative administration and democratic administration of securities administrative law enforcement, which is the direction worth exploring in securities supervision in our country. For this reason, the system of securities enforcement and settlement needs to be constantly tested by the practice from the securities market, in order to better play the role of protecting investors and standardizing the securities market. Based on the concept and theoretical basis of securities enforcement administrative reconciliation, this paper analyzes and discusses the characteristics and value of securities administrative reconciliation, and probes into the system of securities administrative reconciliation outside the United Kingdom and the United States. This paper makes a concrete analysis of the system of administrative reconciliation of securities enforcement in China, and analyzes the problems of starting, consultation, decision making, execution, determination, payment and distribution of settlement funds in the process of administrative reconciliation of securities enforcement in China. Combined with the case of securities settlement, this paper discusses and analyzes the actual effect of the security enforcement administrative reconciliation system in China, and probes into the perfection of the security enforcement administrative reconciliation system in our country.
【学位授予单位】：北方工业大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

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