证券纠纷多元解决机制探析

发布时间：2018-05-27 11:44

本文选题：证券纠纷 + 有限司法　；参考：《天津商业大学》2011年硕士论文

【摘要】：证券纠纷作为民商事纠纷的一种,具有民商事纠纷的一般特点,同时证券纠纷又具有自身的特殊性,即涉及人数众多、标的额大;案件影响范围广;案情复杂、专业性强等一系列特点,因此需要完善的纠纷解决方式,以保证证券纠纷及时、高效的解决。我国现有的证券纠纷解决方式比较单一,主要通过诉讼途径解决,但是诉讼程序方面的规定并不利于保护中小投资者,而其它有效的纠纷解决方式并没有充分发挥作用,如仲裁在纠纷解决方式中处于边缘地位、调解在证券纠纷解决方式中处于缺失状态等。为了弥补诉讼程序的缺陷以及司法局限性,充分尊重证券投资人纠纷解决方式的自由选择权,实现效率的目的,必须完善多元的证券纠纷解决方式,特别要充分发挥调解、仲裁等解纷方式的作用,实现诉讼与非诉讼方式相结合的、功能互补的纠纷解决格局。本文在对我国证券类案件进行实证分析的基础上,通过比较的方法对证券纠纷解决方式比较完善的国家和地区的经验进行介绍,(如美国采用集团诉讼的方式解决证券纠纷人数较多的难题,通过大力发展证券仲裁解决方式解决证券纠纷专业性强的难题;而我国台湾地区则采用保护机构代表投资者诉讼的方式解决传统诉讼方式的不足问题,通过法律方式赋予调解地位等。),在此基础上提出完善我国证券纠纷解决方式的建议:在诉讼方面,改变现有程序方面的不足,特别是引入我国台湾地区保护机构代表人诉讼方式;在仲裁方面,要充分利用现有的仲裁资源,大力引导投资者通过仲裁解决证券纠纷;在调解方面,要充分利用调解自身优势,通过完善调解主体及赋予调解协议效力等方式发挥调解的作用。本文试图通过构建多元的纠纷解决方式以达到保护投资者、稳定证券市场的目的。
[Abstract]:As a kind of civil and commercial disputes, securities disputes have the general characteristics of civil and commercial disputes, at the same time, the securities disputes have their own particularity, that is, the large number of people involved, the large amount of the object, the wide range of cases, the complexity of the case, A series of characteristics, such as strong professionalism, need perfect dispute resolution to ensure timely and efficient settlement of securities disputes. The existing securities dispute resolution in China is relatively simple, mainly through litigation, but the provisions of litigation procedures are not conducive to the protection of small and medium-sized investors, and other effective dispute resolution methods have not played a full role. Such as arbitration in the dispute settlement in the marginal position, mediation in the securities dispute settlement in the lack of state and so on. In order to make up for the defects of litigation procedure and judicial limitation, fully respect the free choice of securities investors' dispute resolution, and realize the purpose of efficiency, we must perfect the multi-element securities dispute resolution method, especially give full play to mediation. Arbitration and other means of dispute resolution, the realization of litigation and non-litigation mode, the function of complementary dispute settlement pattern. Based on the empirical analysis of securities cases in China, This paper introduces the experiences of countries and regions where the settlement of securities disputes is more perfect through comparative methods. (for example, the United States adopts the method of class action to solve the problem of large number of securities disputes. Through vigorously developing securities arbitration solutions to solve the difficult problems of securities disputes with strong professionalism, the Taiwan region has adopted the method of protecting institutions to act on behalf of investors to solve the deficiencies of traditional litigation methods. On the basis of giving mediation status by legal means, the author puts forward some suggestions on how to improve the settlement of securities disputes in China: in the aspect of litigation, the deficiency of existing procedure should be changed. In particular, it is necessary to introduce the Taiwan Regional Protection Agency Representative Litigation method; in arbitration, it is necessary to make full use of existing arbitration resources to vigorously guide investors to resolve securities disputes through arbitration; and in the area of mediation, We should make full use of the advantages of mediation and play its role by perfecting the main body of mediation and endowing the mediation agreement. In order to protect investors and stabilize the securities market, this paper attempts to construct multiple dispute resolution methods.
【学位授予单位】：天津商业大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.287;D926

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