论证券民事公益诉讼制度的构建

发布时间：2018-03-08 02:20

本文选题：证券　切入点：公益诉讼　出处：《河北大学》2017年硕士论文　论文类型：学位论文

【摘要】：近年来,我国资本市场迅速发展,各种新型的违法行为也随之涌现,证券市场内幕交易、虚假陈述、欺诈客户、操纵市场等违法行为呈逐年增长趋势。2012年《民事诉讼法》第五十五条对公益诉讼做出了原则性的规定,但并没有规定其在实践中如何具体操作。为使环境和消费者公益诉讼更好的应用于实践,2014年最高人民法院对环境公益诉讼出台了司法解释,2016年对消费者公益诉讼出台了司法解释。我国证券领域除了行政监管和刑事处罚外,民事领域对证券侵权救济的立法规定很少,从我国资本市场构成来看,中小投资者所占比重最大,是投资的中坚力量,只有保护其合法权益,才能促进证券市场良好发展。我国中小投资者人数较多、分布较广等特点决定了其权益涉及到不特定多数人的利益,所以在处理证券纠纷时,应当借鉴消费者公益诉讼和环境公益诉讼的相关规定,在证券领域构建证券民事公益诉讼。本文通过总结证券民事公益诉讼的救济对象特殊性、较强专业性、成本高、金额较大等特征,归纳证券民事公益诉讼在弥补救济程序、节约司法成本、维护证券市场稳定等价值功能,探讨消费者公益诉讼、共同诉讼、代表人诉讼制度在解决证券纠纷时存在的不足,分析证券民事公益诉讼在立法基础、实践经验、具备条件等可行性,借鉴德国示范诉讼、台湾团体诉讼、美国和韩国的集团诉讼等有关证券民事公益诉讼的相关规定,从而构建以检察机关、证券监管机构、社会团体、个人作为提起证券民事公益诉讼的原告主体,取消行政前置程序、支持起诉的诉讼方式,建立民事损害赔偿、惩罚性赔偿和交出违法获益金的诉讼请求,根据不同主体提起诉讼适用不同举证责任、专家辅助人出庭作证等证据制度,诉讼成本分担、诉讼代表人奖励制度、政府给予专门拨款或补助等诉讼费用,公益律师和律师风险酬金的公益律师制度,适用法院调解的案件、调解协议公告时间及实现调解途径多样化等方面探索构建证券民事公益诉讼制度。
[Abstract]:In recent years, with the rapid development of the capital market in China, a variety of new types of illegal acts have emerged, such as insider trading, false statements and fraud of customers in the securities market. Market manipulation and other illegal acts are on the rise year by year. In 2012, Article 55th of the Civil procedure Law made a principled provision for public interest litigation. In order to make the environment and consumer public interest litigation better applied in practice, in 2014, the Supreme people's Court issued a judicial interpretation of environmental public interest litigation, 2016 consumer public interest litigation. In addition to administrative supervision and criminal punishment, In the civil field, there are few legislative provisions on the remedy of securities infringement. Judging from the composition of China's capital market, small and medium-sized investors account for the largest proportion and are the backbone of investment, only to protect their legitimate rights and interests. In order to promote the sound development of the securities market, the large number of small and medium-sized investors in China and their wide distribution determine that their rights and interests are related to the interests of the non-specific majority, so when dealing with securities disputes, We should draw lessons from the relevant provisions of consumer public interest litigation and environmental public interest litigation, and construct securities civil public interest litigation in the field of securities. The characteristics of large amount of money, such as summing up the value functions of securities civil public interest litigation in making up relief procedures, saving judicial costs, maintaining the stability of the securities market, and discussing consumer public interest litigation and joint action, The shortcomings of the representative litigation system in resolving securities disputes, the analysis of the feasibility of securities civil public interest litigation in the legislative basis, practical experience, conditions, and so on, drawing lessons from the German model litigation, Taiwan group litigation, The relevant provisions on securities civil public interest litigation in the United States and South Korea, and so on, so as to build up procuratorial organs, securities regulatory bodies, social organizations, and individuals as the main body of plaintiffs who bring securities civil public interest litigation. To cancel the administrative pre-procedure, to support the way of litigation, to establish civil damages, punitive damages and claims to hand over illegal profits, and to apply different burden of proof according to the litigation of different subjects, The system of evidence such as expert auxiliaries appearing in court to testify, the sharing of litigation costs, the system of rewards for litigant representatives, the system of public interest lawyers who give special grants or subsidies to the government, and the system of public interest lawyers and lawyers' risk gratuities, This paper explores the construction of securities civil public interest litigation system in the aspects of court mediation cases, the time of announcement of mediation agreement and the diversification of mediation channels.
【学位授予单位】：河北大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D925.1

【相似文献】