证券交易所自律监管司法审查制度研究

发布时间：2018-04-27 22:57

本文选题：自律监管 + 司法审查　；参考：《华东政法大学》2013年硕士论文

【摘要】：证券交易所作为为证券交易提供场所与设施的自律组织，自律监管权是其一项重要的权利。自律监管本身具有专业性、灵活性等优势，然而这也不能掩盖自律监管本身的缺陷和不足。在我国特定的环境下，证券交易所的这种自律监管权又被政府赋予了浓厚的行政权力色彩，为了防止证券交易所自律监管权的滥用，我们有必要对这种权力加以必要的约束。那么我们应该如何来约束交易所的自律监管权呢？司法审查作为一种重要的外部力量，由其来对证券交易所的自律监管权进行约束是再合适不过的了。但是物极必反，司法如果过度的介入交易所的自律监管，将会丧失交易所的自治性、自律性。为此我们应当准确把握司法审查的优势与缺陷，确立一个合理的司法审查范围，努力构建一个完善的司法审查制度，防止司法盲目、过度地介入自律监管。就本文而言，文章第一章对证券交易所的自律监管做了一个概述。第一节关于自律监管的基本内涵、法律基础的介绍让我们对自律监管有了一个初步的认识；第二节对自律监管优势的介绍，使我们更进一步认识了自律监管，认识到交易所的自律监管对证券市场的健康发展的重要性。第二章在第一章的基础上，，对自律监管司法审查制度做了完整介绍，包括概述、司法审查原则和司法审查的益处三个部分，通过这部分的文字介绍，让我们了解到了司法审查的必要性。第三章是对我国自律监管和自律监管司法审查现状的一个描述。第一节是关于我国证券交易所自律监管现状的描述，第二节是关于我国自律监管司法审查现状的描述。本章是本文不可或缺的部分，因为只有对现状有了清醒的认识，才会提出更好的完善建议。第四章是在前三章的基础上，对我国自律监管司法审查制度的构建提出了建议。提出了设置内部救济用尽制度，建立证券交易所内部协商机制，完善司法审查运行机制的构想，并对每一个构想都进行了细致的分析。
[Abstract]:As a self-regulatory organization which provides the place and facilities for securities trading, the right of self-regulation is an important right. Self-regulation has its own advantages, such as professionalism, flexibility and so on, but it can not cover up the defects and shortcomings of self-regulation. Under the specific environment of our country, this kind of self-regulatory power of stock exchange is endowed by the government with strong administrative power color. In order to prevent the abuse of self-regulatory power of stock exchange, it is necessary for us to restrict this kind of power. So how should we restrain the self-regulatory power of the exchange? Judicial review as an important external force, it is most appropriate to restrict the self-regulatory power of the stock exchange. However, if the judicature is too involved in the self-regulation of the exchange, it will lose the autonomy and self-discipline of the exchange. Therefore, we should accurately grasp the advantages and disadvantages of judicial review, establish a reasonable scope of judicial review, strive to build a perfect judicial review system, prevent judicial blindness and over-intervene in self-discipline supervision. As far as this paper is concerned, the first chapter gives an overview of the self-regulation of stock exchanges. The first section on the basic connotation of self-regulation, the introduction of the legal basis let us have a preliminary understanding of self-regulation; the second section of the advantages of self-regulation, so that we further understand self-regulation, Recognize the importance of self-regulation of exchanges to the healthy development of the securities market. The second chapter, based on the first chapter, makes a complete introduction to the self-regulatory judicial review system, including an overview, the principles of judicial review and the benefits of judicial review, through the text of this part of the introduction, Let us understand the necessity of judicial review. The third chapter is a description of the current situation of self-regulation and self-regulation judicial review in China. The first section is a description of the current situation of self-regulation of stock exchanges in China, and the second section is a description of the current situation of judicial review of self-regulatory supervision in China. This chapter is an indispensable part of this article, because only if we have a clear understanding of the present situation, we will put forward better suggestions. On the basis of the first three chapters, the fourth chapter puts forward some suggestions on the construction of judicial review system of self-regulation supervision in China. This paper puts forward the idea of setting up the system of exhaustion of internal relief, establishing the internal consultation mechanism of the stock exchange, and perfecting the running mechanism of judicial review, and makes a detailed analysis of each idea.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287

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