證券執(zhí)法行政和解制度研究
[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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