證券公司行政處置與破產(chǎn)清算程序的對接問題
發(fā)布時間：2018-08-03 07:46
【摘要】：近年，中國證券行業(yè)在政府推動下得以快速發(fā)展，但同時也遭遇不少問題。自然，政府也有責(zé)任解決由其監(jiān)管不力而導(dǎo)致的一系列問題，特別是在證券公司破產(chǎn)清算制度中仍然存在行政處置與司法程序?qū)硬划?dāng)?shù)膯栴}。正因如此，2008年國務(wù)院發(fā)布了《證券公司風(fēng)險處置條例》，以行政法規(guī)的形式確立了對證券公司風(fēng)險處置的行政措施種類、形式等�？v觀條例中關(guān)于行政清理的規(guī)定，應(yīng)當(dāng)說該程序已具有了一定程度上的破產(chǎn)清算程序的含義。但是，就風(fēng)險證券公司處置過程而言，行政處置程序和破產(chǎn)清算程序，兩者在適用法律、任務(wù)目標(biāo)、主導(dǎo)機(jī)關(guān)等方面均存在較大差異，在對接上可能會出現(xiàn)各種法律問題和障礙。在證券公司破產(chǎn)清算的實踐中，司法程序和行政處置工作因缺乏明確具體的法律依據(jù)，二者對接不當(dāng)問題，使證券公司的破產(chǎn)清算工作無法順利完成。本文系統(tǒng)地研究證券公司司法程序和行政處置的對接問題并探討解決思路，，以便能夠更好地處理證券公司的破產(chǎn)清理工作并推動證券公司風(fēng)險處置收口工作有效進(jìn)行。 本文第一部分主要介紹證券公司破產(chǎn)程序的法律適用，包括《企業(yè)破產(chǎn)法》的一般規(guī)定和《證券公司風(fēng)險處置條例》的特別規(guī)定；第二部分主要分析證券公司行政處置與破產(chǎn)程序銜接上的缺陷，主要包括行政處置行為的法律地位不清，行政處置手段在使用上的缺陷，司法程序?qū)π姓幹眯袨楸O(jiān)督和配合的缺位等；第三部分主要分析美國證券公司破產(chǎn)法的特別規(guī)范分析并加以借鑒，主要介紹美國SIPC的特點，客戶支付令的介入和臨時管理人制度。針對我國行政處置與司法配合的缺陷，本文第四部分從行政介入的理論基礎(chǔ)入手，著力分析我國行政處置行為的主體正當(dāng)性和程序規(guī)范性，并就司法程序?qū)π姓幹眯袨榈乃痉ㄕJ(rèn)定和司法配合提出了建議。
[Abstract]:In recent years, China's securities industry has been developed rapidly by the government, but also encountered many problems. Naturally, the government also has the responsibility to solve a series of problems caused by its weak supervision, especially in the bankruptcy liquidation system of securities companies, there is still the problem of improper docking between administrative disposal and judicial procedures. For this reason, in 2008, the State Council issued the Regulation on risk disposal of Securities companies, which established the types and forms of administrative measures to deal with the risks of securities companies in the form of administrative laws and regulations. It should be said that the procedure has the meaning of bankruptcy liquidation procedure to some extent. However, as far as the disposal process of risk securities companies is concerned, there are great differences between administrative disposal procedures and bankruptcy liquidation procedures in the application of law, task objectives, leading organs, and so on. There may be various legal problems and obstacles in docking. In the practice of bankruptcy liquidation of securities companies, due to the lack of clear and specific legal basis for the judicial procedure and administrative disposal, the improper connection between the two makes the bankruptcy liquidation of securities companies unable to be completed smoothly. This paper systematically studies the connection between judicial procedure and administrative disposal of securities companies and discusses the solutions so as to better deal with the bankruptcy clean-up of securities companies and to promote the risk disposal of securities companies to carry out effectively. The first part of this paper mainly introduces the legal application of the bankruptcy procedure of the securities company, including the general provisions of the Enterprise bankruptcy Law and the special provisions of the Securities Company risk disposal regulations. The second part mainly analyzes the defects in the connection between the administrative disposal and the bankruptcy procedure of the securities company, including the unclear legal status of the administrative disposal act and the defects in the use of the administrative disposal means. The third part mainly analyzes and draws lessons from the analysis of the special norms of the bankruptcy law of American securities companies, mainly introduces the characteristics of SIPC in the United States. Customer payment order intervention and interim administrator system. In view of the defects of our country's administrative disposal and judicial cooperation, the fourth part of this paper begins with the theoretical basis of administrative intervention, and focuses on the analysis of the legitimacy of the subject and the procedural norms of the administrative disposal in our country. It also puts forward some suggestions on judicial cognizance and judicial cooperation.
【學(xué)位授予單位】：上海交通大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：D922.287;D922.291.92
本文編號：2161078
[Abstract]:In recent years, China's securities industry has been developed rapidly by the government, but also encountered many problems. Naturally, the government also has the responsibility to solve a series of problems caused by its weak supervision, especially in the bankruptcy liquidation system of securities companies, there is still the problem of improper docking between administrative disposal and judicial procedures. For this reason, in 2008, the State Council issued the Regulation on risk disposal of Securities companies, which established the types and forms of administrative measures to deal with the risks of securities companies in the form of administrative laws and regulations. It should be said that the procedure has the meaning of bankruptcy liquidation procedure to some extent. However, as far as the disposal process of risk securities companies is concerned, there are great differences between administrative disposal procedures and bankruptcy liquidation procedures in the application of law, task objectives, leading organs, and so on. There may be various legal problems and obstacles in docking. In the practice of bankruptcy liquidation of securities companies, due to the lack of clear and specific legal basis for the judicial procedure and administrative disposal, the improper connection between the two makes the bankruptcy liquidation of securities companies unable to be completed smoothly. This paper systematically studies the connection between judicial procedure and administrative disposal of securities companies and discusses the solutions so as to better deal with the bankruptcy clean-up of securities companies and to promote the risk disposal of securities companies to carry out effectively. The first part of this paper mainly introduces the legal application of the bankruptcy procedure of the securities company, including the general provisions of the Enterprise bankruptcy Law and the special provisions of the Securities Company risk disposal regulations. The second part mainly analyzes the defects in the connection between the administrative disposal and the bankruptcy procedure of the securities company, including the unclear legal status of the administrative disposal act and the defects in the use of the administrative disposal means. The third part mainly analyzes and draws lessons from the analysis of the special norms of the bankruptcy law of American securities companies, mainly introduces the characteristics of SIPC in the United States. Customer payment order intervention and interim administrator system. In view of the defects of our country's administrative disposal and judicial cooperation, the fourth part of this paper begins with the theoretical basis of administrative intervention, and focuses on the analysis of the legitimacy of the subject and the procedural norms of the administrative disposal in our country. It also puts forward some suggestions on judicial cognizance and judicial cooperation.
【學(xué)位授予單位】：上海交通大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：D922.287;D922.291.92
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