我國(guó)證券群體訴訟制度研究
發(fā)布時(shí)間：2018-08-25 11:36
【摘要】：群體訴訟是西方國(guó)家社會(huì)發(fā)展進(jìn)入后現(xiàn)代階段的產(chǎn)物,主要是大規(guī)模商品生產(chǎn)、銷售與服務(wù)過(guò)程中產(chǎn)生的小額多數(shù)分散利益糾紛與司法機(jī)能限度之間矛盾的產(chǎn)物。其制度設(shè)計(jì)從基本結(jié)構(gòu)和目標(biāo)、功能各方面都超越了一對(duì)一的傳統(tǒng)的訴訟結(jié)構(gòu)。證券群體訴訟,是在解決證券市場(chǎng)領(lǐng)域群體糾紛案件中的具體適用。目前,證券群體訴訟的具體形式在各個(gè)國(guó)家都有其特殊的表現(xiàn)形式,一般來(lái)說(shuō)在世界范圍內(nèi)具有代表性的的群體訴訟制度包括：以日本為代表的選定當(dāng)事人訴訟制度；以德國(guó)為代表的團(tuán)體訴訟制度；以美國(guó)為代表的集團(tuán)訴訟制度以及我國(guó)《中華人民共和國(guó)民事訴訟法》規(guī)定的訴訟代表人制度等。本文分為四個(gè)部分,基本內(nèi)容如下：第一章是對(duì)我國(guó)證券市場(chǎng)群體訴訟的概述,主要介紹了我國(guó)證券市場(chǎng)侵權(quán)現(xiàn)狀以及我國(guó)證券民事訴訟的立法和司法現(xiàn)狀。在該章中筆者首先界定了群體訴訟和證券群體訴訟的概念,在此基礎(chǔ)上得出并列舉出世界范圍內(nèi)具有代表性的證券群體訴訟制度。同時(shí)通過(guò)對(duì)我國(guó)相關(guān)立法和司法實(shí)踐的考察分析,指出目前我國(guó)證券群體訴訟在立法和司法實(shí)踐中存在的一些問(wèn)題和不足。第二章主要探討了如下兩個(gè)問(wèn)題。一是對(duì)域外具有代表性的證券群體是訴訟制度的考察和分析。主要介紹了日本選定當(dāng)事人、德國(guó)團(tuán)體訴訟和美國(guó)證券集團(tuán)訴訟的有關(guān)概念特征和構(gòu)成要件等。二是我國(guó)學(xué)者對(duì)完善我國(guó)證券群體訴訟制度的幾種觀點(diǎn)。在列舉了我國(guó)學(xué)者的幾種觀點(diǎn)后,筆者又在結(jié)合本文第二章對(duì)域外法進(jìn)行考察分析的基礎(chǔ)上對(duì)我國(guó)學(xué)者的幾種觀點(diǎn)進(jìn)行了評(píng)析。得出,在我國(guó)代表人訴訟存在上述學(xué)者所述的根本缺陷以及第一章中所述的存在立法缺陷和司法實(shí)踐不足的情況下,應(yīng)積極借鑒或引入具備群體訴訟本應(yīng)具有的價(jià)值和功能并符合我國(guó)國(guó)情和現(xiàn)實(shí)需要的制度的結(jié)論。因此,我國(guó)證券群體訴訟制度今后改革方向的設(shè)定應(yīng)以群體訴訟的功能和其所應(yīng)具有的價(jià)值導(dǎo)向?yàn)楦?以建立符合我國(guó)國(guó)情和證券市場(chǎng)發(fā)展情況的相應(yīng)規(guī)制機(jī)制為基礎(chǔ)。同時(shí),也要評(píng)估某種制度的引入可能帶來(lái)的一些負(fù)面和不良效果,并應(yīng)合理預(yù)計(jì)能否建立相應(yīng)的制約機(jī)制去防止此類負(fù)面效果的產(chǎn)生。第三章主要探討引入美國(guó)證券集團(tuán)訴訟的價(jià)值(功能)以及障礙分析。在功能和價(jià)值導(dǎo)向下對(duì)美國(guó)證券集團(tuán)訴訟所具有的功能和價(jià)值進(jìn)行了分析。同時(shí)也對(duì)引入證券集團(tuán)訴訟可能存在的障礙進(jìn)行分析得出,這些障礙在我國(guó)體現(xiàn)的并不明顯或者說(shuō)即使存在也可以通過(guò)制定相應(yīng)制約機(jī)制進(jìn)行克服。再結(jié)合當(dāng)下我國(guó)證券市場(chǎng)情況,筆者認(rèn)為引進(jìn)證券集團(tuán)訴訟已刻不容緩。第四章,一是主要對(duì)引入美國(guó)證券集團(tuán)訴訟的態(tài)度、指導(dǎo)思想和路徑進(jìn)行了闡述。在態(tài)度上筆者認(rèn)為,應(yīng)該在堅(jiān)持引入美國(guó)證券集團(tuán)訴訟大方向的基礎(chǔ)下,同時(shí)參照其他各國(guó)引入美國(guó)證券集團(tuán)訴訟的經(jīng)驗(yàn),再加以結(jié)合我國(guó)的具體國(guó)情,設(shè)計(jì)出一套具有中國(guó)特色的證券集團(tuán)訴訟方案。在指導(dǎo)思想上應(yīng)進(jìn)一步糾正我國(guó)證券市場(chǎng)重融資功能的偏見(jiàn),切實(shí)加強(qiáng)和重視中小投資者保護(hù)。同時(shí),在設(shè)計(jì)我國(guó)證券集團(tuán)訴訟制度時(shí)應(yīng)將相關(guān)的制度明確化、具體化,使其具有操作性。在具體的引入路徑上指出應(yīng)分兩步走的策略。二是引入美國(guó)證券集團(tuán)訴訟的具體方案設(shè)計(jì)。主要內(nèi)容包括：1、修改《民事訴訟法》并制定《證券集團(tuán)訴訟法》；2、明確確立“選擇退出”規(guī)則；3、防止“濫訴”的制度設(shè)計(jì)；4、對(duì)其他集團(tuán)成員的權(quán)利保障。
[Abstract]:Group lawsuit is the product of the social development of western countries in the post-modern stage, mainly the product of the contradiction between the small majority of disputes of scattered interests and the limitation of judicial function in the process of large-scale commodity production, sales and service. Its system design surpasses the one-to-one traditional lawsuit in terms of basic structure and objectives and functions. Securities group action is a specific application in solving group disputes in the field of securities market. At present, the specific forms of securities group action have their special manifestations in various countries. Generally speaking, the representative group action system in the world includes: the selected party action represented by Japan. This article is divided into four parts, the basic contents are as follows: The first chapter is a summary of the group action in China's securities market, mainly introducing China's securities market. In this chapter, the author first defines the concepts of group action and securities group action, and then draws and enumerates the representative securities group action system in the world. At the same time, through the relevant legislation and judicial practice in China. The second chapter mainly discusses the following two problems. One is the investigation and analysis of the representative securities groups outside the country are litigation systems. It mainly introduces the selected parties in Japan, German group litigation and American securities. Secondly, some viewpoints of the Chinese scholars on perfecting the system of securities group action are put forward. After enumerating several viewpoints of the Chinese scholars, the author comments on several viewpoints of the Chinese scholars on the basis of the investigation and analysis of the extraterritorial law in the second chapter of this paper. In the case of the fundamental defects mentioned by the above-mentioned scholars and the defects in legislation and judicial practice mentioned in the first chapter, we should actively draw lessons from or introduce the conclusion of the system which has the value and function of group action and conforms to the actual situation and needs of our country. The setting of the reform direction of the system in the future should be based on the function of group action and the value orientation it should have, and on the establishment of the corresponding regulatory mechanism in line with China's national conditions and the development of the securities market. Chapter 3 mainly discusses the value (function) and obstacle analysis of the introduction of American securities class action. It also analyzes the function and value of American securities class action under the guidance of function and value. By analyzing the obstacles, we can see that these obstacles are not obvious in our country or can be overcome by formulating corresponding restriction mechanism even if they exist. Combined with the current situation of China's securities market, the author believes that the introduction of securities class action is urgent. In my opinion, we should design a set of securities class action plan with Chinese characteristics on the basis of insisting on introducing the general direction of American securities class action and referring to the experience of other countries in introducing American securities class action. Ideologically, we should further correct the prejudice of refinancing function in China's securities market, strengthen and attach great importance to the protection of small and medium investors. At the same time, we should make the relevant system clear and concrete in the design of China's securities class action system, so as to make it operational. The main contents include: 1. amending the Civil Procedure Law and enacting the Securities Group Procedure Law; 2. defining the rules of "opting out"; 3. preventing "indiscriminate litigation"; 4. protecting the rights of other group members.
【學(xué)位授予單位】：南京大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.287;D925.1
本文編號(hào)：2202759
[Abstract]:Group lawsuit is the product of the social development of western countries in the post-modern stage, mainly the product of the contradiction between the small majority of disputes of scattered interests and the limitation of judicial function in the process of large-scale commodity production, sales and service. Its system design surpasses the one-to-one traditional lawsuit in terms of basic structure and objectives and functions. Securities group action is a specific application in solving group disputes in the field of securities market. At present, the specific forms of securities group action have their special manifestations in various countries. Generally speaking, the representative group action system in the world includes: the selected party action represented by Japan. This article is divided into four parts, the basic contents are as follows: The first chapter is a summary of the group action in China's securities market, mainly introducing China's securities market. In this chapter, the author first defines the concepts of group action and securities group action, and then draws and enumerates the representative securities group action system in the world. At the same time, through the relevant legislation and judicial practice in China. The second chapter mainly discusses the following two problems. One is the investigation and analysis of the representative securities groups outside the country are litigation systems. It mainly introduces the selected parties in Japan, German group litigation and American securities. Secondly, some viewpoints of the Chinese scholars on perfecting the system of securities group action are put forward. After enumerating several viewpoints of the Chinese scholars, the author comments on several viewpoints of the Chinese scholars on the basis of the investigation and analysis of the extraterritorial law in the second chapter of this paper. In the case of the fundamental defects mentioned by the above-mentioned scholars and the defects in legislation and judicial practice mentioned in the first chapter, we should actively draw lessons from or introduce the conclusion of the system which has the value and function of group action and conforms to the actual situation and needs of our country. The setting of the reform direction of the system in the future should be based on the function of group action and the value orientation it should have, and on the establishment of the corresponding regulatory mechanism in line with China's national conditions and the development of the securities market. Chapter 3 mainly discusses the value (function) and obstacle analysis of the introduction of American securities class action. It also analyzes the function and value of American securities class action under the guidance of function and value. By analyzing the obstacles, we can see that these obstacles are not obvious in our country or can be overcome by formulating corresponding restriction mechanism even if they exist. Combined with the current situation of China's securities market, the author believes that the introduction of securities class action is urgent. In my opinion, we should design a set of securities class action plan with Chinese characteristics on the basis of insisting on introducing the general direction of American securities class action and referring to the experience of other countries in introducing American securities class action. Ideologically, we should further correct the prejudice of refinancing function in China's securities market, strengthen and attach great importance to the protection of small and medium investors. At the same time, we should make the relevant system clear and concrete in the design of China's securities class action system, so as to make it operational. The main contents include: 1. amending the Civil Procedure Law and enacting the Securities Group Procedure Law; 2. defining the rules of "opting out"; 3. preventing "indiscriminate litigation"; 4. protecting the rights of other group members.
【學(xué)位授予單位】：南京大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.287;D925.1
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