证券侵权纠纷解决机制研究论文

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1、硕 士 学 位 论 文证 券 侵 权 纠 纷 解 决 机 制 研 究Infringement dispute settlement mechanism of the securities二零一零年四月分类号： UDC： 密 级： 保密年限： 年证 券 侵 权 纠 纷 解 决 机 制 研 究 Infringement dispute settlement mechanism of the securities学科门类： 法 学 学科专业： 经济法 论文作者： 何 飞 指导教师： 孙仲玲教授培养单位： 法学院 I原创性声明本人郑重声明：所呈交的学位论文，是本人在导师的指导下，独立进行研究工作所取得

2、的成果。除文中已经注明引用的内容外，本论文不含任何其他个人或集体已经发表或撰写过的作品成果。对本文的研究做出重要贡献的个人和集体，均已在文中以明确方式标明。本人完全意识到本声明的法律结果由本人承担。论文作者签名： 签字日期： 年 月 日关于论文使用授权的说明学位论文作者完全了解云南民族大学有关保留和使用学位论文的规定，即：研究生在校攻读学位期间论文工作的知识产权单位属云南民族大学。学校有权保留并向国家有关部门或机构送交论文的复印件和电子版，允许学位论文被查阅和借阅；学校可以公布学位论文的全部或部分内容，可以允许采用影印、缩印或其它复制手段保存、汇编学位论文。 （保密的学位论文在解密后遵守此规定

3、） 学位论文作者签名： 签字日期： 年 月 日 导 师 签 名： 签字日期： 年 月 日摘要II摘 要在社会冲突的理论下，纠纷的存在及解决已经是一个不容回避的现实。而纠纷解决机制，就是缓解纠纷的机构和制度，以法律的视角考察，现代社会的纠纷解决方式，不外乎诉讼和非诉讼两种方式。作为一种特殊的纠纷形态，证券侵权纠纷在我国证券市场上屡见不鲜，并因为其利益牵涉的广泛性而日益引起了人们的重视。可是长期以来我国的证券侵权纠纷解决机制都付之阙如，直接影响了投资者利益保护和证券市场良性发展。随着 2002 年 1 月 15 日最高人民法院关于受理证券市场因虚假陈述引发事侵权纠纷案件有关问题的通知和 2002

4、年 12 月 26 日关于审理证券市场因虚假陈述引发的民事赔偿案件的若干规定等司法解释相继出台，利用诉讼方式解决证券侵权纠纷终于“千呼万唤始出来” ，但是，对于证券侵权纠纷来说，我国民事诉讼立法中没有规定被告方对于原告起诉的必须答辩义务和证据必须在庭审前交换的义务，使证券诉讼中投资者的利益保护非常的艰难；再者，要进入到诉讼程序必须先经过行政前置程序，只有经过证监会处罚的侵权案件才可以进入法院审理，在此过程中，由于广大中小投资者势单力薄，难以应付已有准备的侵权行为主体，即使通过了行政程序，对以后在诉讼过程中证据收集等方面也处于劣势；而非诉讼解决方式的运用，一定程度上还停留在构想阶段。本文所要讲述

5、的是虽然应用诉讼方式解决证券纠纷有了先例，但是由于2002 年 1 月 15 日最高人民法院关于受理证券市场因虚假陈述引发事侵权纠纷案件有关问题的通知和 2002 年 12 月 26 日关于审理证券市场因虚假陈述引发的民事赔偿案件的若干规定等司法解释的限制，仅有证券虚假陈述的案件可以在行政机关处理后可以进入到法院进行审判，而大部分的证券侵权案件还被拒于法院门外，这对于广大的受害者来说是不公平的，假如这部分受害者的利益得不到诉求，那么广大的投资者会选择“用脚投票” ，退出资本市场，这对我国刚刚建立的证券市场是极为不利的，因此，本文拟研究如何综合运用诉讼和非诉讼方式来解决证券侵权纠纷，建立多元化的

6、纠纷解决机制，以保护投资者的合法权益，维护证券市场秩序和社会的稳定。关键词：证券侵权 纠纷解决 证券诉讼 证券仲裁 证券调解AbstractIIIAbstractTheory of social conflict, the existence of disputes and settlement is already a reality can not be avoided. The dispute settlement mechanism, is the ease the dispute institutions and systems to the law on the view of m

7、odern society, dispute resolution, nothing more than litigation and non litigation in two ways. Disputes as a special form of infringement disputes in Chinas securities market securities are frequent, and because of their breadth of interests involved increasingly attracted attention. However, our l

8、ong-standing violations of securities dispute resolution mechanisms are non-existent, which directly affect the interests of investors protection and sound development of securities markets. With the January 15, 2002 Supreme Court accept the securities market on the false statements in matters relat

9、ed to the case Infringement Issues, and December 26, 2002 Trial of the securities market because of false statements in a civil compensation case Provisions and other judicial interpretations were introduced, using the securities litigation settlement of infringement disputes finally long-awaited, b

10、ut, for the Securities and infringement disputes, Chinas civil legislation does not require the defendant to be prosecuted for the plaintiff to reply obligations and the exchange of evidence before trial must be the obligation, to make the interests of investors in securities litigation is very diff

11、icult to protect; Moreover, to enter into the proceedings must go through administrative front, or only through the punishment of infringement cases before the Commission can access to the courts, in the process, as middle and small investors are weak, it is difficult to cope with the violations hav

12、e been prepared to subject, even if the administrative procedures, after the collection of evidence during the proceedings also at a disadvantage; and the use of non-litigation solution, to some extent still at concept stage. This is though to be about the application of the securities litigation to

13、 resolve disputes there is a precedent, but because January 15, 2002 Supreme Court accept the securities market on the false statements in matters related to the case Infringement Issues and in December 2002 26 on the false statements in the securities market trial in civil compensation cases, some

14、provisions, such as judicial 摘要IVinterpretations of the restrictions, the only false statement case the securities can be treated in the executive authorities to enter into the trial court, and most of the securities infringement cases outside the court also rejected, which the majority of the victi

15、ms was unfair, if this part of the interests of the victims can not appeal, then the majority of investors will choose to vote with their feet out of capital market, which just established securities market in China is extremely negative, and therefore, this paper presents a study of how to employ legal and non-infringement litigation to resolve securities disputes, the establishment of diverse dispute resolution mechanism to protect the legitimate interests of investors, maintenance of the securities market order and social stability. Keywords: Securities violations dispute