证券支持诉讼制度研究

发布时间：2018-06-29 22:40

本文选题：证券支持诉讼 + 投资者保护　；参考：《四川省社会科学院》2017年硕士论文

【摘要】：近年来,伴随着证券市场的不断发展,证券民事侵权案件也频繁发生,其中以虚假陈述等证券欺诈行为等现象尤为严重。针对证券民事侵权,由于我国证券民事责任实现机制的法律维权体系并不完善,加之中小投资者的维权意识不强,维权时间成本和金钱成本较高,且由于中小投资者自身缺乏专业维权知识,在维权过程中的调查取证工作难以开展,中小投资者的维权难度系数非常高。在证券市场中,中小投资者作为证券市场健康、稳定、可持续发展的核心参与者,如果其合法权益受到大规模、持续性的侵害会严重影响到证券市场的稳定性,并且可能会波及我国市场经济的有序发展。因此,需要在现有的证券民事责任实现途径外,寻求新的证券民事责任实现途径。建立健全支持诉讼制度在证券诉讼案件中的具体司法适用,能有效对处于弱势地位的诉讼当事人在知识上的欠缺和能力上的短板进行弥补,力争在个案中平衡诉讼资源在当事人之间的分配。由《中华人民共和国民事诉讼法》(以下简称《民事诉讼法》)的第十五条规定可知,我国机关单位、社会团体、事业单位、企业对损害国家、集体和个人民事权益的行为,可以给予受害单位或者个人向人民法院提起诉讼提供支持。此项规定是支持诉讼制度研究的直接法律依据。2017年5月,国内各大法制媒体纷纷以醒目的标题报道了我国司法实践中首例证券支持诉讼案一审判决的消息。法律规定和现实案例正是本文得以展开深入研究的基础。笔者认为证券支持诉讼的概念是指在社会干预主义思想的指引下,基于保护证券市场中小投资者合法权益这一目的,由法律规定的主体依法支持权益受损的适格主体向人民法院提起诉讼的方式。某个案件或者某类案件,在起诉时对诉讼的发起者即原告,有提供支持的现实必要是对支持诉讼制度在某一领域司法适用的进行深入研究的价值所在。本文以维护中小投资者合法权益为出发点,以民事诉讼法律体系中的相关规定为法律依据,在投资者保护理论的基础上,通过对中小投资者权益保护路径的比较性分析,探究证券支持诉讼的具体司法适用的现实考量,进而为证券诉讼支持具体司法适用的完善提出建议。本文结构分为四个章节,第一章,笔者将在提出问题的基础上,介绍研究背景、目的和研究方法,阐述文章的创新点并做文献综述;第二章,文章对投资者保护理论和证券民事责任实现途径的现状进行介绍,以便构建文章的理论基础;第三章,对我国证券民事责任救济的几种路径,包括先期赔付、证券公益诉讼、证券集团诉讼进行介绍,总结其优势及不足,并将这些路径与证券支持诉讼制度进行比较性分析,为下一章证券支持诉讼制度的具体司法适用做好铺垫。第四章,对证券支持诉讼制度的具体司法适用提出建议。
[Abstract]:In recent years, with the continuous development of the securities market, securities civil tort cases also occur frequently, in which securities fraud such as false statements are especially serious. In view of the civil tort of securities, due to the imperfect legal protection system of the realization mechanism of civil liability of securities in our country, and the weak awareness of safeguarding rights of small and medium-sized investors, the cost of safeguarding rights in time and money is high. Due to the lack of professional knowledge of safeguarding rights, it is difficult to carry out the investigation and collection of evidence in the process of safeguarding the rights of small and medium-sized investors, and the difficulty coefficient of protecting rights of small and medium-sized investors is very high. In the securities market, small and medium-sized investors, as the key participants in the healthy, stable and sustainable development of the securities market, will seriously affect the stability of the securities market if their legitimate rights and interests are large-scale, and the sustained infringement will seriously affect the stability of the securities market. And may affect the orderly development of our market economy. Therefore, it is necessary to seek a new way to realize the civil liability of securities in addition to the existing ways of realizing the civil liability of securities. Establishing and perfecting the specific judicial application of supporting litigation system in securities litigation cases can effectively remedy the lack of knowledge and ability of the litigants in a weak position. Strive to balance the distribution of litigation resources between the parties in the case. According to Article 15 of the Civil procedure Law of the people's Republic of China (hereinafter referred to as "the Civil procedure Law"), we can know that the acts of organs, public organizations, public institutions and enterprises that harm the civil rights and interests of the State, collectives and individuals, Support may be given to an injured unit or individual to file a lawsuit in a people's court. This regulation is the direct legal basis to support the study of litigation system. In May 2017, the major domestic legal media reported the news of the first-instance judgment of the first securities supporting lawsuit in China's judicial practice with eye-catching headlines. Legal provisions and practical cases are the basis of this paper. The author believes that the concept of securities supporting litigation refers to the purpose of protecting the legitimate rights and interests of small and medium-sized investors in the securities market under the guidance of social interventionism. According to the law, the subject supports the suitably injured subject to bring a suit to the people's court. In a certain case or a certain kind of case, it is necessary to provide support to the initiator of the lawsuit, that is, the plaintiff, is the value of in-depth research on the judicial application of the supporting litigation system in a certain field. In order to safeguard the legal rights and interests of small and medium-sized investors, this paper takes the relevant provisions in the legal system of civil litigation as the legal basis, on the basis of the theory of investor protection, through the comparative analysis of the path of the protection of the rights and interests of small and medium-sized investors. This paper probes into the practical considerations of the specific judicial application of securities support litigation, and then puts forward some suggestions for the perfection of securities litigation supporting the specific judicial application. The structure of this paper is divided into four chapters, the first chapter, the author will introduce the research background, purpose and research methods on the basis of raising questions, explain the innovation of the article and do a literature review. This paper introduces the current situation of investor protection theory and the way to realize the civil liability of securities, in order to construct the theoretical foundation of the article. Chapter three, several ways to remedy the civil liability of securities in China, including advance payment, public interest litigation of securities, are introduced. This paper introduces the securities group litigation, summarizes its advantages and disadvantages, and makes a comparative analysis between these paths and the securities supporting litigation system, which will pave the way for the concrete judicial application of the securities support litigation system in the next chapter. Chapter IV, the specific judicial application of the securities support litigation system.
【学位授予单位】：四川省社会科学院
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D925.1

【参考文献】