我国证券法的域外效力研究

发布时间：2018-03-23 21:51

本文选题：域外管辖　切入点：行为标准　出处：《法律科学(西北政法大学学报)》2014年05期

【摘要】：证券市场的国际化使得一国证券法适用于境外发生的某些证券行为成为必要。中国致力于打造国际金融中心,建立证券市场的国际板,有必要赋予其证券法以适度的域外效力。美国证券法半个多世纪以来的实践值得研究和借鉴,特别是2010年的Morrison案判决,颠覆了此前的行为标准和结果标准,而代之以交易标准。鉴于中国目前正在修订《证券法》,建议其中增设关于域外效力的有关条款。其具体设计可保留现行的无域外效力推定,以行为地点作为判别管辖权的原则,同时辅以结果标准,允许中国法院对某些发生于境外但对境内有直接影响的证券行为进行管辖。同时,中国证券法应允许法院以非方便管辖原则为由驳回某些起诉。而从长远看,中国应积极推动制定证券跨国诉讼的多边国际公约,以根本解决管辖权冲突。
[Abstract]:The internationalization of the securities market makes it necessary for a country's securities law to be applicable to certain securities acts occurring abroad. China is committed to building an international financial center and an international board for the securities market. It is necessary to give its securities law a moderate extraterritorial effect. The practice of the United States securities law for more than half a century is worth studying and drawing lessons from. In particular, the 2010 Morrison judgment overturned the previous standards of conduct and results. In view of the fact that China is currently in the process of amending the Securities Law, it is suggested that the relevant provisions on extraterritorial effects should be added to it. Its specific design can retain the existing presumption of no extraterritorial effect and use the place of conduct as the principle of jurisdiction. At the same time, supplemented by the criterion of result, Chinese courts are allowed to exercise jurisdiction over certain acts of securities that occur outside China but have a direct impact on the territory... at the same time, China's securities law should allow the courts to dismiss certain lawsuits on the basis of the principle of inconvenient jurisdiction. In the long run, China should actively promote the formulation of multilateral international conventions on securities transnational litigation in order to resolve the conflicts of jurisdiction at all.
【作者单位】：中国人民大学法学院;
【基金】：中国人民大学民商事法律科学研究中心项目(14MSFJD820001)
【分类号】：D922.287

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