我国证券投资者权益行政法保护制度研究

发布时间：2018-10-09 10:01

【摘要】：我国证券市场在过去二三十间发展迅速,但也暴露出证券投资者权益保护不力的问题,如何更有效地保护证券投资者权益成为亟待解决的问题。完善行政法保护制度是保障证券投资者权益的方法之一,文章以证券投资者权益行政法保护主体制度、程序制度以及救济制度为研究对象,分析了我国证券投资者权益行政法保护制度的现状及存在的主要问题,并借鉴美、英两国在此领域的经验,提出了完善我国证券投资者权益行政法保护制度的建议。文章包括绪论在内共五章。第一章为绪论。第二章介绍了证券投资者权益行政法保护制度的相关概念。分析了证券投资者权益、行政法保护制度以及证券投资者权益行政法保护制度的概念及其具体内容,在此基础上简要阐明了证券投资者权益行政法保护的现实必要性与制度分类。第三章对证券投资者权益行政法保护的基本制度展开讨论,以行政主体制度、程序制度以及救济制度为研究对象分析了我国证券投资者权益行政法保护制度的现状及存在的问题。第四章探讨了国外证券投资者权益行政法保护制度。分别从美国和英国证券投资者权益行政法保护主体制度、程序制度以及行政救济制度进行阐述,并做出了简要的评述,为我国在这—领域的完善提供借鉴意义。第五章提出了如何完善我国证券投资者权益行政法保护制度的建议。在主体制度方面,笔者提出应当调整证监会的职能定位,加强证券自律组织的独立性;在程序制度方面,提出应完善证监会信息公开制度,加强证监会规章制定程序公众参与性;在救济制度方面,笔者建议应完善行政复议制度和行政诉讼制度。
[Abstract]:The securities market of our country has developed rapidly in the past 20 or 30 years, but it has also exposed the problem of weak protection of the rights and interests of securities investors. How to protect the rights and interests of securities investors more effectively becomes an urgent problem to be solved. Perfecting the protection system of administrative law is one of the methods to protect the rights and interests of securities investors. This paper analyzes the present situation and main problems of the protection system of securities investors' rights and interests in our country, and draws lessons from the experience of the United States and Britain in this field, and puts forward some suggestions to perfect the system of protecting the rights and interests of securities investors in our country. The article includes five chapters, including the introduction. The first chapter is the introduction. The second chapter introduces the related concepts of the protection system of securities investors' rights and interests in administrative law. This paper analyzes the concepts and contents of the protection system of the rights and interests of securities investors, the system of protection of administrative law and the system of protection of the rights and interests of securities investors. On this basis, this paper briefly expounds the practical necessity and system classification of the protection of securities investors' rights and interests in administrative law. The third chapter discusses the basic system of the protection of the rights and interests of securities investors. The procedure system and relief system are analyzed in this paper. The present situation and existing problems of the administrative law protection system for the rights and interests of securities investors in China are analyzed. The fourth chapter discusses the protection system of foreign securities investors' rights and interests administrative law. This paper expounds the main body system, procedure system and administrative relief system of the administrative law of securities investors' rights and interests in the United States and Britain respectively, and makes a brief comment, which provides reference significance for the perfection of our country in this field. The fifth chapter puts forward some suggestions on how to perfect the protection system of securities investors' rights and interests in administrative law. In the aspect of subject system, the author puts forward that the function orientation of CSRC should be adjusted, and the independence of securities self-discipline organization should be strengthened, and in the aspect of procedure system, the information disclosure system of CSRC should be improved. In the aspect of relief system, the author suggests that the administrative reconsideration system and the administrative litigation system should be improved.
【学位授予单位】：中南林业科技大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

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