投保机构在证券民事诉讼中的角色定位

发布时间：2018-06-15 02:20

本文选题：投资者保护 + 证券集团诉讼　；参考：《北方法学》2017年06期

【摘要】：在过去十几年中,由于我国诉讼机制的制度设置,投资者长期难以克服集体行动困境,高昂的维权成本使其对证券民事诉讼望而却步。此次《证券法》的修订无疑为修正投资者诉讼机制提供了契机,投资者保护机构作为诉讼代表人参加诉讼的模式,更是创新性地缓解了集体行动的困难。但是,参考我国台湾地区、美国的经验教训,投资者保护机构作为代表人参与诉讼的模式可能存在激励不足、独立性不足和诉讼能力不足三大隐忧。如若不能解决,将严重影响我国投资者保护机构诉讼机制的最终效果。因此,参考萨拉蒙合作模式的新治理理论,我们的投资者保护机构需要与政府合作治理,发挥各自的优势并努力克服集体行动的困境和志愿失灵的可能性,使政府集中于资金提供与信息监控、共享,而投保机构着力于以更强的内在行动力克服集体行动困境,不断促进投保机构诉讼的市场化运作,维护投资者的合法民事权益。
[Abstract]:In the past ten years, because of the system setup of litigation mechanism in our country, it is difficult for investors to overcome the predicament of collective action for a long time. The revision of the Securities Law undoubtedly provides an opportunity for the amendment of the investor litigation mechanism, and the mode of investor protection organization as the representative of the lawsuit to participate in the litigation has also innovatively alleviated the difficulty of collective action. However, referring to the experience and lessons of Taiwan and the United States, there may be three hidden worries in the mode of investor protection organization as representative participating in litigation: lack of incentive, lack of independence and insufficient ability of litigation. If it can not be solved, it will seriously affect the final effect of investor protection institution litigation mechanism in China. So, referring to the new governance theory of the Salamon model of cooperation, our investor protection agencies need to work with the government to harness their strengths and try to overcome the dilemma of collective action and the possibility of voluntary failure. The government focuses on the fund supply and information monitoring and sharing, while the insurance institutions focus on overcoming the collective action dilemma with stronger internal action, continuously promote the marketization of the insurance institution litigation, and safeguard the legitimate civil rights and interests of the investors.
【作者单位】：深圳大学法学院;
【基金】：2017年度教育部人文社会科学研究青年基金项目“中国证监会内幕交易监管行为研究:1994—2017”(17YJC820035) 深圳大学法学院“高水平大学建设项目”S类项目的阶段性成果
【分类号】：D922.287;D925.1

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