【摘要】：作為法律實(shí)施中私人監(jiān)督的一種表現(xiàn)形式,舉報越來越成為證監(jiān)會監(jiān)管執(zhí)法的重要線索來源。有獎舉報制度在證券監(jiān)管領(lǐng)域已實(shí)行了十余年,但由于我國相關(guān)法律制度的不完善,舉報人的積極性不高,監(jiān)管部門通過知情人舉報來獲取相關(guān)線索和證據(jù)的比例依然偏低。借鑒美國證券監(jiān)管中有獎舉報的制度經(jīng)驗(yàn),在我國有獎舉報制度構(gòu)建中,可以從厘清有獎舉報制度的正當(dāng)性判斷入手,建立對舉報內(nèi)容真實(shí)性和舉報目的正當(dāng)性的判斷標(biāo)準(zhǔn),通過相關(guān)規(guī)則給舉報人以適當(dāng)?shù)男袨橹敢?并對有獎舉報具體制度和實(shí)施的外部保障進(jìn)行規(guī)則完善,以此提升有獎舉報制度對于證券監(jiān)管效能發(fā)揮的"軟實(shí)力"。
[Abstract]:As a manifestation of private supervision in law enforcement, reporting is becoming an important clue source for CSRC to supervise and enforce law. The reward reporting system has been implemented in the field of securities supervision for more than ten years, but due to the imperfect relevant legal system in our country, the informants' enthusiasm is not high, and the proportion of regulators obtaining relevant clues and evidence through informants' reports is still on the low side. Using the experience of the reward reporting system in the securities supervision of the United States for reference, in the construction of the reward reporting system in our country, we can start with clarifying the legitimacy judgment of the reward reporting system, and establish the judgment standard of the authenticity of the reporting content and the legitimacy of the purpose of reporting. Through the relevant rules to the whistleblower proper behavior guidance, and the reward reporting specific system and the implementation of the external protection of the rules to improve the reward reporting system for securities regulatory effectiveness of the "soft power."
【作者單位】： 上海證券交易所法律部;
【基金】：國家社科基金青年項目《非上市公眾公司治理指引研究》(項目編號:15CFX060)的階段性研究成果
【分類號】：F832.1

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