论我国证券监管中有奖举报制度的完善
发布时间：2018-08-08 11:29
【摘要】：作为法律实施中私人监督的一种表现形式,举报越来越成为证监会监管执法的重要线索来源。有奖举报制度在证券监管领域已实行了十余年,但由于我国相关法律制度的不完善,举报人的积极性不高,监管部门通过知情人举报来获取相关线索和证据的比例依然偏低。借鉴美国证券监管中有奖举报的制度经验,在我国有奖举报制度构建中,可以从厘清有奖举报制度的正当性判断入手,建立对举报内容真实性和举报目的正当性的判断标准,通过相关规则给举报人以适当的行为指引,并对有奖举报具体制度和实施的外部保障进行规则完善,以此提升有奖举报制度对于证券监管效能发挥的"软实力"。
[Abstract]:As a manifestation of private supervision in law enforcement, reporting is becoming an important clue source for CSRC to supervise and enforce law. The reward reporting system has been implemented in the field of securities supervision for more than ten years, but due to the imperfect relevant legal system in our country, the informants' enthusiasm is not high, and the proportion of regulators obtaining relevant clues and evidence through informants' reports is still on the low side. Using the experience of the reward reporting system in the securities supervision of the United States for reference, in the construction of the reward reporting system in our country, we can start with clarifying the legitimacy judgment of the reward reporting system, and establish the judgment standard of the authenticity of the reporting content and the legitimacy of the purpose of reporting. Through the relevant rules to the whistleblower proper behavior guidance, and the reward reporting specific system and the implementation of the external protection of the rules to improve the reward reporting system for securities regulatory effectiveness of the "soft power."
【作者单位】： 上海证券交易所法律部;
【基金】：国家社科基金青年项目《非上市公众公司治理指引研究》(项目编号:15CFX060)的阶段性研究成果
【分类号】：F832.1
本文编号：2171649
[Abstract]:As a manifestation of private supervision in law enforcement, reporting is becoming an important clue source for CSRC to supervise and enforce law. The reward reporting system has been implemented in the field of securities supervision for more than ten years, but due to the imperfect relevant legal system in our country, the informants' enthusiasm is not high, and the proportion of regulators obtaining relevant clues and evidence through informants' reports is still on the low side. Using the experience of the reward reporting system in the securities supervision of the United States for reference, in the construction of the reward reporting system in our country, we can start with clarifying the legitimacy judgment of the reward reporting system, and establish the judgment standard of the authenticity of the reporting content and the legitimacy of the purpose of reporting. Through the relevant rules to the whistleblower proper behavior guidance, and the reward reporting specific system and the implementation of the external protection of the rules to improve the reward reporting system for securities regulatory effectiveness of the "soft power."
【作者单位】： 上海证券交易所法律部;
【基金】：国家社科基金青年项目《非上市公众公司治理指引研究》(项目编号:15CFX060)的阶段性研究成果
【分类号】：F832.1
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1 周义兴;股市监管不妨引入“有奖举报”制度[N];中华工商时报;2008年
2 周义兴;推进IPO有奖举报与惩戒制度建设[N];中华工商时报;2011年
，本文编号：2171649
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