我国证券群体诉讼制度研究
发布时间：2018-08-25 11:36
【摘要】：群体诉讼是西方国家社会发展进入后现代阶段的产物,主要是大规模商品生产、销售与服务过程中产生的小额多数分散利益纠纷与司法机能限度之间矛盾的产物。其制度设计从基本结构和目标、功能各方面都超越了一对一的传统的诉讼结构。证券群体诉讼,是在解决证券市场领域群体纠纷案件中的具体适用。目前,证券群体诉讼的具体形式在各个国家都有其特殊的表现形式,一般来说在世界范围内具有代表性的的群体诉讼制度包括：以日本为代表的选定当事人诉讼制度；以德国为代表的团体诉讼制度；以美国为代表的集团诉讼制度以及我国《中华人民共和国民事诉讼法》规定的诉讼代表人制度等。本文分为四个部分,基本内容如下：第一章是对我国证券市场群体诉讼的概述,主要介绍了我国证券市场侵权现状以及我国证券民事诉讼的立法和司法现状。在该章中笔者首先界定了群体诉讼和证券群体诉讼的概念,在此基础上得出并列举出世界范围内具有代表性的证券群体诉讼制度。同时通过对我国相关立法和司法实践的考察分析,指出目前我国证券群体诉讼在立法和司法实践中存在的一些问题和不足。第二章主要探讨了如下两个问题。一是对域外具有代表性的证券群体是诉讼制度的考察和分析。主要介绍了日本选定当事人、德国团体诉讼和美国证券集团诉讼的有关概念特征和构成要件等。二是我国学者对完善我国证券群体诉讼制度的几种观点。在列举了我国学者的几种观点后,笔者又在结合本文第二章对域外法进行考察分析的基础上对我国学者的几种观点进行了评析。得出,在我国代表人诉讼存在上述学者所述的根本缺陷以及第一章中所述的存在立法缺陷和司法实践不足的情况下,应积极借鉴或引入具备群体诉讼本应具有的价值和功能并符合我国国情和现实需要的制度的结论。因此,我国证券群体诉讼制度今后改革方向的设定应以群体诉讼的功能和其所应具有的价值导向为根本,以建立符合我国国情和证券市场发展情况的相应规制机制为基础。同时,也要评估某种制度的引入可能带来的一些负面和不良效果,并应合理预计能否建立相应的制约机制去防止此类负面效果的产生。第三章主要探讨引入美国证券集团诉讼的价值(功能)以及障碍分析。在功能和价值导向下对美国证券集团诉讼所具有的功能和价值进行了分析。同时也对引入证券集团诉讼可能存在的障碍进行分析得出,这些障碍在我国体现的并不明显或者说即使存在也可以通过制定相应制约机制进行克服。再结合当下我国证券市场情况,笔者认为引进证券集团诉讼已刻不容缓。第四章,一是主要对引入美国证券集团诉讼的态度、指导思想和路径进行了阐述。在态度上笔者认为,应该在坚持引入美国证券集团诉讼大方向的基础下,同时参照其他各国引入美国证券集团诉讼的经验,再加以结合我国的具体国情,设计出一套具有中国特色的证券集团诉讼方案。在指导思想上应进一步纠正我国证券市场重融资功能的偏见,切实加强和重视中小投资者保护。同时,在设计我国证券集团诉讼制度时应将相关的制度明确化、具体化,使其具有操作性。在具体的引入路径上指出应分两步走的策略。二是引入美国证券集团诉讼的具体方案设计。主要内容包括：1、修改《民事诉讼法》并制定《证券集团诉讼法》；2、明确确立“选择退出”规则；3、防止“滥诉”的制度设计；4、对其他集团成员的权利保障。
[Abstract]:Group lawsuit is the product of the social development of western countries in the post-modern stage, mainly the product of the contradiction between the small majority of disputes of scattered interests and the limitation of judicial function in the process of large-scale commodity production, sales and service. Its system design surpasses the one-to-one traditional lawsuit in terms of basic structure and objectives and functions. Securities group action is a specific application in solving group disputes in the field of securities market. At present, the specific forms of securities group action have their special manifestations in various countries. Generally speaking, the representative group action system in the world includes: the selected party action represented by Japan. This article is divided into four parts, the basic contents are as follows: The first chapter is a summary of the group action in China's securities market, mainly introducing China's securities market. In this chapter, the author first defines the concepts of group action and securities group action, and then draws and enumerates the representative securities group action system in the world. At the same time, through the relevant legislation and judicial practice in China. The second chapter mainly discusses the following two problems. One is the investigation and analysis of the representative securities groups outside the country are litigation systems. It mainly introduces the selected parties in Japan, German group litigation and American securities. Secondly, some viewpoints of the Chinese scholars on perfecting the system of securities group action are put forward. After enumerating several viewpoints of the Chinese scholars, the author comments on several viewpoints of the Chinese scholars on the basis of the investigation and analysis of the extraterritorial law in the second chapter of this paper. In the case of the fundamental defects mentioned by the above-mentioned scholars and the defects in legislation and judicial practice mentioned in the first chapter, we should actively draw lessons from or introduce the conclusion of the system which has the value and function of group action and conforms to the actual situation and needs of our country. The setting of the reform direction of the system in the future should be based on the function of group action and the value orientation it should have, and on the establishment of the corresponding regulatory mechanism in line with China's national conditions and the development of the securities market. Chapter 3 mainly discusses the value (function) and obstacle analysis of the introduction of American securities class action. It also analyzes the function and value of American securities class action under the guidance of function and value. By analyzing the obstacles, we can see that these obstacles are not obvious in our country or can be overcome by formulating corresponding restriction mechanism even if they exist. Combined with the current situation of China's securities market, the author believes that the introduction of securities class action is urgent. In my opinion, we should design a set of securities class action plan with Chinese characteristics on the basis of insisting on introducing the general direction of American securities class action and referring to the experience of other countries in introducing American securities class action. Ideologically, we should further correct the prejudice of refinancing function in China's securities market, strengthen and attach great importance to the protection of small and medium investors. At the same time, we should make the relevant system clear and concrete in the design of China's securities class action system, so as to make it operational. The main contents include: 1. amending the Civil Procedure Law and enacting the Securities Group Procedure Law; 2. defining the rules of "opting out"; 3. preventing "indiscriminate litigation"; 4. protecting the rights of other group members.
【学位授予单位】：南京大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287;D925.1
本文编号：2202759
[Abstract]:Group lawsuit is the product of the social development of western countries in the post-modern stage, mainly the product of the contradiction between the small majority of disputes of scattered interests and the limitation of judicial function in the process of large-scale commodity production, sales and service. Its system design surpasses the one-to-one traditional lawsuit in terms of basic structure and objectives and functions. Securities group action is a specific application in solving group disputes in the field of securities market. At present, the specific forms of securities group action have their special manifestations in various countries. Generally speaking, the representative group action system in the world includes: the selected party action represented by Japan. This article is divided into four parts, the basic contents are as follows: The first chapter is a summary of the group action in China's securities market, mainly introducing China's securities market. In this chapter, the author first defines the concepts of group action and securities group action, and then draws and enumerates the representative securities group action system in the world. At the same time, through the relevant legislation and judicial practice in China. The second chapter mainly discusses the following two problems. One is the investigation and analysis of the representative securities groups outside the country are litigation systems. It mainly introduces the selected parties in Japan, German group litigation and American securities. Secondly, some viewpoints of the Chinese scholars on perfecting the system of securities group action are put forward. After enumerating several viewpoints of the Chinese scholars, the author comments on several viewpoints of the Chinese scholars on the basis of the investigation and analysis of the extraterritorial law in the second chapter of this paper. In the case of the fundamental defects mentioned by the above-mentioned scholars and the defects in legislation and judicial practice mentioned in the first chapter, we should actively draw lessons from or introduce the conclusion of the system which has the value and function of group action and conforms to the actual situation and needs of our country. The setting of the reform direction of the system in the future should be based on the function of group action and the value orientation it should have, and on the establishment of the corresponding regulatory mechanism in line with China's national conditions and the development of the securities market. Chapter 3 mainly discusses the value (function) and obstacle analysis of the introduction of American securities class action. It also analyzes the function and value of American securities class action under the guidance of function and value. By analyzing the obstacles, we can see that these obstacles are not obvious in our country or can be overcome by formulating corresponding restriction mechanism even if they exist. Combined with the current situation of China's securities market, the author believes that the introduction of securities class action is urgent. In my opinion, we should design a set of securities class action plan with Chinese characteristics on the basis of insisting on introducing the general direction of American securities class action and referring to the experience of other countries in introducing American securities class action. Ideologically, we should further correct the prejudice of refinancing function in China's securities market, strengthen and attach great importance to the protection of small and medium investors. At the same time, we should make the relevant system clear and concrete in the design of China's securities class action system, so as to make it operational. The main contents include: 1. amending the Civil Procedure Law and enacting the Securities Group Procedure Law; 2. defining the rules of "opting out"; 3. preventing "indiscriminate litigation"; 4. protecting the rights of other group members.
【学位授予单位】：南京大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287;D925.1
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