证券执法和解制度研究

发布时间：2018-01-15 06:37

本文关键词：证券执法和解制度研究　出处：《中国政法大学》2008年硕士论文　论文类型：学位论文

【摘要】： 本论文从经济法学的角度,对证券执法和解制度的域外立法情况、实践效果以及对于建立我国证券执法和解制度的借鉴意义等诸方面进行了系统的描述和探讨,在结构上主要分为五个部分: 第一部分为前言,简要介绍文章的写作背景和论述的切入之处。第二部分为证券执法和解概念阐释与立法概况,介绍证券执法和解制度的概念及世界各国的立法和实践概况。第三部分为证券执法和解制度立法模式及内容。在本部分中,综合几个主要国家关于证券执法和解制度的立法例,分别从和解的法律依据、前提、工作程序、内容、公开、效力以及罚款的使用、和解的监督等八个方面着眼进行深入的对比和评介,审视不同制度背景下对于同一问题的或同或异的法治理念和处理方式,并对其价值基础和实践效果等进行评价。第四部分为证券执法和解制度特点与缺憾分析。即在承继前一部分对于域外立法例的介绍的基础上,更关注不同立法模式的特点与其之间的差异,并力图在普遍层面上开掘出缺憾之处,从而为我国的证券执法和解制度的建构提供理论资源。第五部分为我国证券执法和解制度之构建。即从必要性、可行性与合法性方面着眼,论证我国应当参照域外立法经验,探索适合中国特色的证券执法和解制度。第六部分为结语,对全文进行回顾和总结。
[Abstract]:From the angle of economic law, this paper systematically describes and discusses the extraterritorial legislation, the practical effect and the significance of establishing the securities law enforcement and reconciliation system in China. Structurally, it is divided into five parts: The first part is the preface, briefly introduces the writing background of the article and the cut-in of the discussion. The second part introduces the concept of securities law enforcement and reconciliation and the general situation of legislation, including the concept of securities enforcement and settlement system and the legislation and practice of countries in the world. The third part is the legislative model and content of securities law enforcement and reconciliation system. In this part, it synthesizes the legislation examples of several major countries on securities law enforcement and settlement system, respectively from the legal basis, premise and working procedure of reconciliation. Content, openness, effectiveness and the use of fines, reconciliation supervision and other eight aspects of in-depth comparison and evaluation, to examine the same system under the same or the same or different ideas and treatment of the rule of law. And its value foundation and practice effect are evaluated. The 4th part is the analysis of the characteristics and shortcomings of the securities law enforcement and reconciliation system. That is, on the basis of the introduction of the former part of the foreign legislation, more attention is paid to the characteristics of different legislative models and the differences between them. It also tries to find out the defects on the general level, thus providing theoretical resources for the construction of the securities law enforcement and reconciliation system in our country. The 5th part is the construction of China's securities law enforcement and reconciliation system. That is, from the point of view of necessity, feasibility and legality, it demonstrates that our country should refer to the experience of foreign legislation. To explore the security law enforcement and reconciliation system suitable for Chinese characteristics. Part 6th is the conclusion of the review and summary of the full text.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2008
【分类号】：D922.287

【引证文献】