论我国绿色证券法律制度之基本原则

发布时间：2018-11-15 11:02

【摘要】：证券金融市场日益繁荣,而其主要的市场参与者——上市公司和拟上市公司却频频在重大环境污染事故中曝光,国家对证券金融市场环境责任监管的缺漏问题引起社会的广泛关注。绿色证券制度正是从环境保护的角度出发,在总结证券金融市场规律的基础上,吸收和借鉴外国相关经验、教训所得出的解决之道,在规范证券市场主体的环境行为,保护上市公司利益相关者权益方面发挥了积极作用。但我国现行的绿色证券制度还只是新型环境经济政策的一个分支,因立法上的缺失,在稳定性、执行力、规范化上都出现了诸多问题,在立法上予以建立和完善是必要和紧迫的。好的立法制度都是以丰富和体系化的基本理论为基础的,我国至今未能将绿色证券制度纳入立法议程的重要原因之一就是我国目前关于绿色证券制度基本理论研究成果的不足。因此,在全面开展绿色证券立法工作之前需要先从理论层面着手进行研究。基本原则既是任何一项制度理论体系必要的组成,也是构建相关法律制度的基石,对基本原则的研究具有理论和现实意义。通过梳理和探讨绿色证券法律制度的内涵、相关学说等基础理论,重点思考绿色证券法律制度基本原则体系的确立,旨在为解决我国绿色证券理论研究不足、对其基本原则探讨几近空白的现实问题。全文共分为四个部分：第一部分着重于对绿色证券法律制度的基础理论分析。一是通过与传统证券法律制度内涵的对比,概括了绿色证券法律制度的定义与特征,为后续研究奠定基点。二是总结和分析可持续发展理论、企业社会责任理论、环境经济学理论、可持续金融理论等密切相关的学说,寻找该制度的理论根源。第二部分主要是考察中外绿色证券法律制度及其基本原则的发展历程与主要内容,分析总结出我国现行绿色证券法律制度及其基本原则的缺失。在研究国外相关制度及其基本原则的同时挖掘其对我国的启示。第三部分主要从绿色证券法律制度基本原则的目标和功能角度研究了绿色证券法律制度基本原则的主要确立标准,即应当体现绿色证券法律制度的基本目标和应当有利于保障制度功能的实现。第四部分在传统证券法律制度基本原则的基础上,从确立的理论基础和现实需求性考量,提出确立绿色公开原则、绿色公平原则、绿色安全原则、环保效益与经济效益相统一原则这四个具体的基本原则,试图构建我国绿色证券法律制度的基本原则体系。
[Abstract]:The securities financial market is booming day by day, while its main market participants, listed companies and companies to be listed, are frequently exposed in major environmental pollution accidents. The lack of supervision on environmental responsibility in the securities financial market has caused widespread concern. Green securities system is from the angle of environmental protection, on the basis of summing up the law of securities financial market, absorbing and drawing lessons from the relevant experiences of foreign countries, and learning from the solution, standardizing the environmental behavior of the main body of the securities market. To protect the rights and interests of stakeholders of listed companies has played an active role. However, the current green securities system in our country is only a branch of the new environmental economic policy. Due to the lack of legislation, there are many problems in terms of stability, execution and standardization. It is necessary and urgent to establish and perfect the legislation. Good legislative system is based on rich and systematized basic theories. One of the important reasons why China has not been able to bring green securities system into the legislative agenda is the deficiency of the current research results on the basic theory of green securities system in our country. Therefore, the green securities legislation needs to be studied from the theoretical level. The basic principle is not only the necessary composition of any system theory system, but also the foundation stone of constructing the relevant legal system, so the research on the basic principle is of theoretical and practical significance. Through combing and discussing the connotation of the legal system of green securities, related theories and other basic theories, this paper focuses on the establishment of the basic principle system of the legal system of green securities, in order to solve the lack of research on the theory of green securities in our country. To its basic principle discusses the near blank realistic question. The thesis is divided into four parts: the first part focuses on the basic theoretical analysis of the legal system of green securities. First, the definition and characteristics of green securities legal system are summarized by comparing with the connotation of traditional securities legal system, so as to lay a foundation point for further research. The second is to summarize and analyze the theory of sustainable development, the theory of corporate social responsibility, the theory of environmental economics, the theory of sustainable finance and so on. The second part mainly examines the development course and main content of the green securities legal system and its basic principles at home and abroad, and analyzes and summarizes the deficiency of the current green securities legal system and its basic principles in our country. At the same time of studying the relevant systems and basic principles of foreign countries, we can find out the enlightenment to our country. The third part mainly from the green securities legal system basic principle goal and the function angle has studied the green securities legal system basic principle main establishment standard. That is to say, it should embody the basic goal of the legal system of green securities and be beneficial to the realization of the function of the safeguard system. The fourth part, based on the basic principles of the traditional securities legal system, puts forward the principles of green openness, green fairness and green security from the theoretical basis and realistic needs. This paper attempts to construct the basic principle system of our country's green securities legal system by unifying the principle of environmental protection benefit and economic benefit.
【学位授予单位】：福州大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287

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