破解行政执法和解的难题——基于证券行政执法和解的观察

发布时间：2018-06-04 01:28

本文选题：行政执法 + 和解　；参考：《行政法学研究》2015年02期

【摘要】：我国没有关于行政执法和解制度的统一规定,目前仅在反垄断、反倾销和海关知识产权保护领域建立了行政执法和解制度,证券领域在积极探索试点。欧美主要发达国家和我国台湾地区均建立了行政执法和解制度,但实践中德国和我国台湾地区行政执法和解制度的适用范围比美国狭窄,这既受本国和地区的法治传统的影响,也与行政执法和解制度本身的设计密切相关。我们应当抛弃形式法治主义的束缚,基于行政效率、行政执法资源的合理配置等现实考虑,建立行政执法和解制度。目前阶段建议在经济性规制和社会性规制的部分领域展开。行政执法和解应当适用于行政机关对相对人的涉嫌违法行为已经依职权开展调查,且行政处罚所依据的事实或者法律关系不能确定或非经重大支出不能查明时,为有效达成行政目的,经双方让步可以达成一致的情形。行政执法和解协议属于隶属性行政契约,具有可诉性。行政执法和解制度隐藏着一些风险,应当建立相应的程序制度以实现对公共利益和相关利害关系人利益的保护。
[Abstract]:There is no unified regulation on the system of administrative law enforcement and reconciliation in our country. At present, only in the fields of antitrust, anti-dumping and customs intellectual property protection, the system of administrative law enforcement and reconciliation has been established, and the securities field is actively exploring pilot projects. The main developed countries in Europe and the United States and the Taiwan area of our country have established the administrative law enforcement reconciliation system, but in practice the scope of application of the administrative law enforcement reconciliation system in Germany and Taiwan is narrower than that in the United States, which is influenced by the tradition of the rule of law in their own country and region. It is also closely related to the design of the administrative law enforcement reconciliation system itself. We should abandon the bondage of formalism and establish the system of administrative law enforcement reconciliation based on the realistic considerations of administrative efficiency and rational allocation of administrative law enforcement resources. At present, suggestions are made in some areas of economic regulation and social regulation. The reconciliation of administrative law enforcement shall be applicable to cases where the administrative organ has already carried out an investigation into the suspected illegal act of the relative person, and the facts or legal relations on which the administrative punishment is based cannot be ascertained or can not be ascertained without substantial expenditure, A situation in which an agreement can be reached by way of compromise for the effective achievement of administrative purposes. The settlement agreement of administrative law enforcement belongs to the subordinate administrative contract and is actionable. There are some risks hidden in the system of administrative law enforcement reconciliation, and the corresponding procedural system should be established to protect the public interests and the interests of relevant stakeholders.
【作者单位】：北京师范大学法学院;
【基金】：北京高等学校青年英才计划“证券行政法问题研究”(项目号YETP0289)的阶段性成果中央直属高校基本科研业务费专项资金资助(项目号:310400083)~~
【分类号】：D912.1

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