【摘要】：經(jīng)國(guó)務(wù)院批準(zhǔn),證監(jiān)會(huì)于2015年公布了《行政和解試點(diǎn)實(shí)施辦法》,這是我國(guó)在證券執(zhí)法制度上的重大創(chuàng)新,對(duì)于保護(hù)投資者利益、規(guī)范證券市場(chǎng),具有重要的現(xiàn)實(shí)意義。當(dāng)前,我國(guó)證券市場(chǎng)日益成長(zhǎng),證券監(jiān)管任務(wù)不斷加重,單一的執(zhí)法模式已經(jīng)不能應(yīng)對(duì)復(fù)雜的證券市場(chǎng)。基于我國(guó)證券市場(chǎng)的現(xiàn)狀以及保護(hù)投資者利益的目的,證監(jiān)會(huì)把行政和解作為證券監(jiān)管的新措施,無疑是明智的,同時(shí)也是順應(yīng)現(xiàn)實(shí)需要的選擇。伴隨著證券行政和解制度在我國(guó)證券領(lǐng)域的正式實(shí)施,行政和解在證券執(zhí)法過程中發(fā)揮著重要的作用。行政和解制度在證券領(lǐng)域的應(yīng)用不僅體現(xiàn)了公法和私法的結(jié)合,更具有劃時(shí)代的現(xiàn)實(shí)意義。證券執(zhí)法行政和解這種在行政程序中解決民事問題的執(zhí)法方式,體現(xiàn)證券行政執(zhí)法的協(xié)商行政、民主行政特點(diǎn),是我國(guó)證券監(jiān)管值得探索的方向。正因如此,證券執(zhí)法和解制度更需要不斷接受來自于證券市場(chǎng)的實(shí)踐檢驗(yàn),以期更好地發(fā)揮保護(hù)投資者、規(guī)范證券市場(chǎng)的作用。論文以證券執(zhí)法行政和解的概念及其理論基礎(chǔ)為出發(fā)點(diǎn),分析討論了證券行政和解的特點(diǎn)以及價(jià)值,并對(duì)英國(guó)、美國(guó)等域外的證券行政和解制度進(jìn)行了探討,在此基礎(chǔ)之上,對(duì)我國(guó)的證券執(zhí)法行政和解制度進(jìn)行具體剖析,分析我國(guó)證券執(zhí)法行政和解程序中的啟動(dòng)、協(xié)商、決策、執(zhí)行、和解金的確定、支付以及分配等問題,并結(jié)合證券和解的案例來討論分析我國(guó)證券執(zhí)法行政和解制度的運(yùn)行實(shí)效,探討我國(guó)證券執(zhí)法行政和解制度的完善。
[Abstract]:With the approval of the State Council, the Securities Regulatory Commission promulgated the "measures for the implementation of Administrative Reconciliation pilot" in 2015, which is a major innovation in China's securities enforcement system and has important practical significance for protecting the interests of investors and standardizing the securities market. At present, the securities market of our country is growing day by day, the task of securities supervision is becoming more and more serious, and the single law enforcement mode can no longer cope with the complex securities market. Based on the present situation of China's securities market and the purpose of protecting the interests of investors, it is no doubt wise for CSRC to take administrative reconciliation as a new measure of securities supervision, and it is also a choice to meet the needs of reality. With the formal implementation of securities administrative settlement system in China, administrative reconciliation plays an important role in the process of securities enforcement. The application of administrative reconciliation system in the field of securities not only embodies the combination of public law and private law, but also has epoch-making practical significance. The administrative reconciliation of securities law enforcement, which solves the civil problems in the administrative procedure, embodies the characteristics of consultative administration and democratic administration of securities administrative law enforcement, which is the direction worth exploring in securities supervision in our country. For this reason, the system of securities enforcement and settlement needs to be constantly tested by the practice from the securities market, in order to better play the role of protecting investors and standardizing the securities market. Based on the concept and theoretical basis of securities enforcement administrative reconciliation, this paper analyzes and discusses the characteristics and value of securities administrative reconciliation, and probes into the system of securities administrative reconciliation outside the United Kingdom and the United States. This paper makes a concrete analysis of the system of administrative reconciliation of securities enforcement in China, and analyzes the problems of starting, consultation, decision making, execution, determination, payment and distribution of settlement funds in the process of administrative reconciliation of securities enforcement in China. Combined with the case of securities settlement, this paper discusses and analyzes the actual effect of the security enforcement administrative reconciliation system in China, and probes into the perfection of the security enforcement administrative reconciliation system in our country.
【學(xué)位授予單位】：北方工業(yè)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：D922.287

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