【摘要】：證券金融市場(chǎng)日益繁榮,而其主要的市場(chǎng)參與者——上市公司和擬上市公司卻頻頻在重大環(huán)境污染事故中曝光,國(guó)家對(duì)證券金融市場(chǎng)環(huán)境責(zé)任監(jiān)管的缺漏問(wèn)題引起社會(huì)的廣泛關(guān)注。綠色證券制度正是從環(huán)境保護(hù)的角度出發(fā),在總結(jié)證券金融市場(chǎng)規(guī)律的基礎(chǔ)上,吸收和借鑒外國(guó)相關(guān)經(jīng)驗(yàn)、教訓(xùn)所得出的解決之道,在規(guī)范證券市場(chǎng)主體的環(huán)境行為,保護(hù)上市公司利益相關(guān)者權(quán)益方面發(fā)揮了積極作用。但我國(guó)現(xiàn)行的綠色證券制度還只是新型環(huán)境經(jīng)濟(jì)政策的一個(gè)分支,因立法上的缺失,在穩(wěn)定性、執(zhí)行力、規(guī)范化上都出現(xiàn)了諸多問(wèn)題,在立法上予以建立和完善是必要和緊迫的。好的立法制度都是以豐富和體系化的基本理論為基礎(chǔ)的,我國(guó)至今未能將綠色證券制度納入立法議程的重要原因之一就是我國(guó)目前關(guān)于綠色證券制度基本理論研究成果的不足。因此,在全面開(kāi)展綠色證券立法工作之前需要先從理論層面著手進(jìn)行研究�；驹瓌t既是任何一項(xiàng)制度理論體系必要的組成,也是構(gòu)建相關(guān)法律制度的基石,對(duì)基本原則的研究具有理論和現(xiàn)實(shí)意義。通過(guò)梳理和探討綠色證券法律制度的內(nèi)涵、相關(guān)學(xué)說(shuō)等基礎(chǔ)理論,重點(diǎn)思考綠色證券法律制度基本原則體系的確立,旨在為解決我國(guó)綠色證券理論研究不足、對(duì)其基本原則探討幾近空白的現(xiàn)實(shí)問(wèn)題。全文共分為四個(gè)部分：第一部分著重于對(duì)綠色證券法律制度的基礎(chǔ)理論分析。一是通過(guò)與傳統(tǒng)證券法律制度內(nèi)涵的對(duì)比,概括了綠色證券法律制度的定義與特征,為后續(xù)研究奠定基點(diǎn)。二是總結(jié)和分析可持續(xù)發(fā)展理論、企業(yè)社會(huì)責(zé)任理論、環(huán)境經(jīng)濟(jì)學(xué)理論、可持續(xù)金融理論等密切相關(guān)的學(xué)說(shuō),尋找該制度的理論根源。第二部分主要是考察中外綠色證券法律制度及其基本原則的發(fā)展歷程與主要內(nèi)容,分析總結(jié)出我國(guó)現(xiàn)行綠色證券法律制度及其基本原則的缺失。在研究國(guó)外相關(guān)制度及其基本原則的同時(shí)挖掘其對(duì)我國(guó)的啟示。第三部分主要從綠色證券法律制度基本原則的目標(biāo)和功能角度研究了綠色證券法律制度基本原則的主要確立標(biāo)準(zhǔn),即應(yīng)當(dāng)體現(xiàn)綠色證券法律制度的基本目標(biāo)和應(yīng)當(dāng)有利于保障制度功能的實(shí)現(xiàn)。第四部分在傳統(tǒng)證券法律制度基本原則的基礎(chǔ)上,從確立的理論基礎(chǔ)和現(xiàn)實(shí)需求性考量,提出確立綠色公開(kāi)原則、綠色公平原則、綠色安全原則、環(huán)保效益與經(jīng)濟(jì)效益相統(tǒng)一原則這四個(gè)具體的基本原則,試圖構(gòu)建我國(guó)綠色證券法律制度的基本原則體系。
[Abstract]:The securities financial market is booming day by day, while its main market participants, listed companies and companies to be listed, are frequently exposed in major environmental pollution accidents. The lack of supervision on environmental responsibility in the securities financial market has caused widespread concern. Green securities system is from the angle of environmental protection, on the basis of summing up the law of securities financial market, absorbing and drawing lessons from the relevant experiences of foreign countries, and learning from the solution, standardizing the environmental behavior of the main body of the securities market. To protect the rights and interests of stakeholders of listed companies has played an active role. However, the current green securities system in our country is only a branch of the new environmental economic policy. Due to the lack of legislation, there are many problems in terms of stability, execution and standardization. It is necessary and urgent to establish and perfect the legislation. Good legislative system is based on rich and systematized basic theories. One of the important reasons why China has not been able to bring green securities system into the legislative agenda is the deficiency of the current research results on the basic theory of green securities system in our country. Therefore, the green securities legislation needs to be studied from the theoretical level. The basic principle is not only the necessary composition of any system theory system, but also the foundation stone of constructing the relevant legal system, so the research on the basic principle is of theoretical and practical significance. Through combing and discussing the connotation of the legal system of green securities, related theories and other basic theories, this paper focuses on the establishment of the basic principle system of the legal system of green securities, in order to solve the lack of research on the theory of green securities in our country. To its basic principle discusses the near blank realistic question. The thesis is divided into four parts: the first part focuses on the basic theoretical analysis of the legal system of green securities. First, the definition and characteristics of green securities legal system are summarized by comparing with the connotation of traditional securities legal system, so as to lay a foundation point for further research. The second is to summarize and analyze the theory of sustainable development, the theory of corporate social responsibility, the theory of environmental economics, the theory of sustainable finance and so on. The second part mainly examines the development course and main content of the green securities legal system and its basic principles at home and abroad, and analyzes and summarizes the deficiency of the current green securities legal system and its basic principles in our country. At the same time of studying the relevant systems and basic principles of foreign countries, we can find out the enlightenment to our country. The third part mainly from the green securities legal system basic principle goal and the function angle has studied the green securities legal system basic principle main establishment standard. That is to say, it should embody the basic goal of the legal system of green securities and be beneficial to the realization of the function of the safeguard system. The fourth part, based on the basic principles of the traditional securities legal system, puts forward the principles of green openness, green fairness and green security from the theoretical basis and realistic needs. This paper attempts to construct the basic principle system of our country's green securities legal system by unifying the principle of environmental protection benefit and economic benefit.
【學(xué)位授予單位】：福州大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.287

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