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  本文關鍵詞：證券交易所自律監(jiān)管行為司法介入研究　出處：《華中師范大學》2014年碩士論文　論文類型：學位論文

  更多相關文章： 證券交易所 自律監(jiān)管 自律監(jiān)管行為 司法介入

【摘要】：我國證券交易所自律監(jiān)管行為的司法介入問題并非一個時新的話題,早在交易所確立會員制之時便有學者開始介入該領域,然而這些年來我國資本市場瞬息萬變的發(fā)展又給交易所的自律監(jiān)管賦予了新的使命,從而帶來了新的問題。黨的十八屆三中全會以來在深化改革的大背景之下,證監(jiān)會在2014年全國證券期貨監(jiān)管工作會議中提出“監(jiān)管轉型”,對政府監(jiān)管與交易所自律監(jiān)管都提出了新的要求。但是,我國目前尚未建立具體的司法介入交易所自律監(jiān)管的法律制度,雖有一些司法解釋但僅僅是程序性的規(guī)范,并未建立完善的實體法制度。鑒于立法上的缺乏,我們一方面需要從理論層面對證券交易所及其自律監(jiān)管行為進行定性,分析交易所與各個監(jiān)管對象之間的不同法律關系,另一方面我們需要借鑒國外成熟的市場經(jīng)驗以及立法經(jīng)驗,論述不同種類的監(jiān)管行為及對象之間的司法介入方式,進而對具體訴訟制度做出安排,著重論述三種不同的訴訟阻卻機制：內(nèi)部救濟、仲裁制度以及行政復議前置程序,將訴訟阻卻機制之外的自律監(jiān)管行為納入司法審查范圍,并選擇民事訴訟作為解決交易所自律監(jiān)管行為引發(fā)糾紛的救濟機制,提出司法審查的合理范圍及原則。從必要性、可行性、合理性的理論上以及具體的制度安排上解決證券交易所自律監(jiān)管的司法介入問題。在新的形勢下,給交易所一個能夠充分發(fā)揮自律管理職能的空間,完善交易所履行自律監(jiān)管職能的司法環(huán)境,是市場深化改革下交易所自律管理法制建設的重要一環(huán)。 全文由以下四部分構成,約三萬字。 第一部分是證券交易所自律監(jiān)管行為的定性,首先對自律監(jiān)管行為定義并分析其特征,然后通過對證券交易所與不同市場參與人之間的法律關系進行比較,分析證券交易所的法律性質與法律屬性,對自律監(jiān)管行為進行定性。除此之外,還分析了證券交易所自律監(jiān)管所面臨的三大趨勢：深化改革大背景、公司化趨勢以及監(jiān)管轉型。 第二部分是司法介入證券交易所自律監(jiān)管的必要性和合理性分析。首先對司法介入理論進行介紹,然后對交易所自律監(jiān)管的現(xiàn)狀及問題進行分析,論證司法介入的必要性；對司法介入交易所的益處進行分析,論證司法介入的合理性； 第三部分是比較法考察,通過考察美國紐約證券交易所、英國倫敦證券交易所、德國法蘭克福交易所這三個國家的不同市場監(jiān)管體系,以及三個證券交易所自律監(jiān)管的司法介入機制,分析我國自律監(jiān)管司法介入的可行性。 第四部分是我國交易所自律監(jiān)管司法介入的制度構建。首先提出了三種訴訟阻卻機制,作為司法介入的前置程序,包括內(nèi)部救濟、仲裁制度以及行政前置程序；然后分析司法介入的方式,選擇了民事訴訟；最后論述司法審查的范圍以及司法審查有限介入和民事責任相對豁免等司法審查原則。
[Abstract]:The issue of judicial intervention in the self-regulatory behavior of stock exchanges in China is not a new topic. As early as the establishment of membership system in the exchange, some scholars began to intervene in this field. However, the rapid development of China's capital market over the past few years has given a new mission to the self-regulatory supervision of exchanges, which has brought new problems. Under the background of deepening reform since the third Plenary session of the 18 CPC Central Committee. In 2014, the Securities Regulatory Commission proposed "regulatory transformation" in the National Securities and Futures Supervision Conference, which put forward new requirements for both government regulation and self-regulation of exchanges. At present, China has not established a specific legal system of judicial intervention in the self-regulation of exchanges, although there are some judicial interpretations, but only procedural norms, has not established a perfect substantive law system. In view of the lack of legislation. On the one hand, we need to qualitatively analyze the stock exchange and its self-regulatory behavior from the theoretical level, and analyze the different legal relations between the exchange and each regulatory object. On the other hand, we need to draw lessons from foreign mature market experience and legislative experience, discuss different types of regulatory behavior and the judicial intervention between the object, and then make arrangements for the specific litigation system. Focus on three different mechanisms of litigation obstruction: internal relief, arbitration system and administrative review of the pre-procedure, the litigation resistance mechanism outside the self-regulatory behavior into the scope of judicial review. And choose civil litigation as the remedy mechanism to solve the disputes caused by self-regulatory behavior of exchanges, and put forward the reasonable scope and principles of judicial review. From the necessity, feasibility. Reasonable theory and specific institutional arrangements to solve the stock exchange self-regulation of judicial intervention. In the new situation, the exchange can give full play to the function of self-regulatory management space. Perfecting the judicial environment for the exchange to perform the function of self-discipline supervision is an important link in the legal construction of the self-discipline management of the exchange under the deepening reform of the market. The full text consists of the following four parts, about 30,000 words. The first part is the qualitative analysis of self-regulatory behavior of stock exchanges, first of all, the definition of self-regulatory behavior and analysis of its characteristics, and then through the stock exchange and different market participants in the legal relationship between the comparison. This paper analyzes the legal nature and legal attributes of the stock exchange, and makes qualitative analysis of the self-regulatory behavior. In addition, it also analyzes the three major trends faced by the self-regulatory supervision of the stock exchange: deepening the background of reform. Corporatization trend and regulatory transformation. The second part is the necessity and rationality of judicial intervention in the self-regulation of stock exchanges. Firstly, the theory of judicial intervention is introduced, and then the current situation and problems of self-regulation of exchanges are analyzed. To demonstrate the necessity of judicial intervention; The benefits of judicial intervention in the exchange are analyzed to demonstrate the rationality of judicial intervention; The third part is a comparative study, through the study of the United States New York Stock Exchange, the London Stock Exchange, Germany's Frankfurt Exchange of three countries of different market regulatory systems. And the judicial intervention mechanism of three stock exchanges' self-regulation supervision, the feasibility of our country's self-regulation supervision judicial intervention is analyzed. The 4th part is the system construction of the judicial intervention of the self-regulatory supervision of the exchange in China. Firstly, three kinds of mechanism of obstruction of litigation are put forward as the pre-procedure of judicial intervention, including internal relief. Arbitration system and administrative procedures; Then it analyzes the way of judicial intervention and chooses civil litigation. Finally, it discusses the scope of judicial review and the principles of judicial review, such as limited intervention of judicial review and relative immunity of civil liability.
【學位授予單位】：華中師范大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：D922.287

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本文編號：1393693