本文選題：證券支持訴訟 + 投資者保護　； 參考：《四川省社會科學(xué)院》2017年碩士論文

【摘要】：近年來,伴隨著證券市場的不斷發(fā)展,證券民事侵權(quán)案件也頻繁發(fā)生,其中以虛假陳述等證券欺詐行為等現(xiàn)象尤為嚴重。針對證券民事侵權(quán),由于我國證券民事責(zé)任實現(xiàn)機制的法律維權(quán)體系并不完善,加之中小投資者的維權(quán)意識不強,維權(quán)時間成本和金錢成本較高,且由于中小投資者自身缺乏專業(yè)維權(quán)知識,在維權(quán)過程中的調(diào)查取證工作難以開展,中小投資者的維權(quán)難度系數(shù)非常高。在證券市場中,中小投資者作為證券市場健康、穩(wěn)定、可持續(xù)發(fā)展的核心參與者,如果其合法權(quán)益受到大規(guī)模、持續(xù)性的侵害會嚴重影響到證券市場的穩(wěn)定性,并且可能會波及我國市場經(jīng)濟的有序發(fā)展。因此,需要在現(xiàn)有的證券民事責(zé)任實現(xiàn)途徑外,尋求新的證券民事責(zé)任實現(xiàn)途徑。建立健全支持訴訟制度在證券訴訟案件中的具體司法適用,能有效對處于弱勢地位的訴訟當(dāng)事人在知識上的欠缺和能力上的短板進行彌補,力爭在個案中平衡訴訟資源在當(dāng)事人之間的分配。由《中華人民共和國民事訴訟法》(以下簡稱《民事訴訟法》)的第十五條規(guī)定可知,我國機關(guān)單位、社會團體、事業(yè)單位、企業(yè)對損害國家、集體和個人民事權(quán)益的行為,可以給予受害單位或者個人向人民法院提起訴訟提供支持。此項規(guī)定是支持訴訟制度研究的直接法律依據(jù)。2017年5月,國內(nèi)各大法制媒體紛紛以醒目的標(biāo)題報道了我國司法實踐中首例證券支持訴訟案一審判決的消息。法律規(guī)定和現(xiàn)實案例正是本文得以展開深入研究的基礎(chǔ)。筆者認為證券支持訴訟的概念是指在社會干預(yù)主義思想的指引下,基于保護證券市場中小投資者合法權(quán)益這一目的,由法律規(guī)定的主體依法支持權(quán)益受損的適格主體向人民法院提起訴訟的方式。某個案件或者某類案件,在起訴時對訴訟的發(fā)起者即原告,有提供支持的現(xiàn)實必要是對支持訴訟制度在某一領(lǐng)域司法適用的進行深入研究的價值所在。本文以維護中小投資者合法權(quán)益為出發(fā)點,以民事訴訟法律體系中的相關(guān)規(guī)定為法律依據(jù),在投資者保護理論的基礎(chǔ)上,通過對中小投資者權(quán)益保護路徑的比較性分析,探究證券支持訴訟的具體司法適用的現(xiàn)實考量,進而為證券訴訟支持具體司法適用的完善提出建議。本文結(jié)構(gòu)分為四個章節(jié),第一章,筆者將在提出問題的基礎(chǔ)上,介紹研究背景、目的和研究方法,闡述文章的創(chuàng)新點并做文獻綜述;第二章,文章對投資者保護理論和證券民事責(zé)任實現(xiàn)途徑的現(xiàn)狀進行介紹,以便構(gòu)建文章的理論基礎(chǔ);第三章,對我國證券民事責(zé)任救濟的幾種路徑,包括先期賠付、證券公益訴訟、證券集團訴訟進行介紹,總結(jié)其優(yōu)勢及不足,并將這些路徑與證券支持訴訟制度進行比較性分析,為下一章證券支持訴訟制度的具體司法適用做好鋪墊。第四章,對證券支持訴訟制度的具體司法適用提出建議。
[Abstract]:In recent years, with the continuous development of the securities market, securities civil tort cases also occur frequently, in which securities fraud such as false statements are especially serious. In view of the civil tort of securities, due to the imperfect legal protection system of the realization mechanism of civil liability of securities in our country, and the weak awareness of safeguarding rights of small and medium-sized investors, the cost of safeguarding rights in time and money is high. Due to the lack of professional knowledge of safeguarding rights, it is difficult to carry out the investigation and collection of evidence in the process of safeguarding the rights of small and medium-sized investors, and the difficulty coefficient of protecting rights of small and medium-sized investors is very high. In the securities market, small and medium-sized investors, as the key participants in the healthy, stable and sustainable development of the securities market, will seriously affect the stability of the securities market if their legitimate rights and interests are large-scale, and the sustained infringement will seriously affect the stability of the securities market. And may affect the orderly development of our market economy. Therefore, it is necessary to seek a new way to realize the civil liability of securities in addition to the existing ways of realizing the civil liability of securities. Establishing and perfecting the specific judicial application of supporting litigation system in securities litigation cases can effectively remedy the lack of knowledge and ability of the litigants in a weak position. Strive to balance the distribution of litigation resources between the parties in the case. According to Article 15 of the Civil procedure Law of the people's Republic of China (hereinafter referred to as "the Civil procedure Law"), we can know that the acts of organs, public organizations, public institutions and enterprises that harm the civil rights and interests of the State, collectives and individuals, Support may be given to an injured unit or individual to file a lawsuit in a people's court. This regulation is the direct legal basis to support the study of litigation system. In May 2017, the major domestic legal media reported the news of the first-instance judgment of the first securities supporting lawsuit in China's judicial practice with eye-catching headlines. Legal provisions and practical cases are the basis of this paper. The author believes that the concept of securities supporting litigation refers to the purpose of protecting the legitimate rights and interests of small and medium-sized investors in the securities market under the guidance of social interventionism. According to the law, the subject supports the suitably injured subject to bring a suit to the people's court. In a certain case or a certain kind of case, it is necessary to provide support to the initiator of the lawsuit, that is, the plaintiff, is the value of in-depth research on the judicial application of the supporting litigation system in a certain field. In order to safeguard the legal rights and interests of small and medium-sized investors, this paper takes the relevant provisions in the legal system of civil litigation as the legal basis, on the basis of the theory of investor protection, through the comparative analysis of the path of the protection of the rights and interests of small and medium-sized investors. This paper probes into the practical considerations of the specific judicial application of securities support litigation, and then puts forward some suggestions for the perfection of securities litigation supporting the specific judicial application. The structure of this paper is divided into four chapters, the first chapter, the author will introduce the research background, purpose and research methods on the basis of raising questions, explain the innovation of the article and do a literature review. This paper introduces the current situation of investor protection theory and the way to realize the civil liability of securities, in order to construct the theoretical foundation of the article. Chapter three, several ways to remedy the civil liability of securities in China, including advance payment, public interest litigation of securities, are introduced. This paper introduces the securities group litigation, summarizes its advantages and disadvantages, and makes a comparative analysis between these paths and the securities supporting litigation system, which will pave the way for the concrete judicial application of the securities support litigation system in the next chapter. Chapter IV, the specific judicial application of the securities support litigation system.
【學(xué)位授予單位】：四川省社會科學(xué)院
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2017
【分類號】：D925.1

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本文編號：2083653