【摘要】：群體訴訟是西方國家社會發(fā)展進入后現(xiàn)代階段的產(chǎn)物,主要是大規(guī)模商品生產(chǎn)、銷售與服務過程中產(chǎn)生的小額多數(shù)分散利益糾紛與司法機能限度之間矛盾的產(chǎn)物。其制度設計從基本結(jié)構(gòu)和目標、功能各方面都超越了一對一的傳統(tǒng)的訴訟結(jié)構(gòu)。證券群體訴訟,是在解決證券市場領域群體糾紛案件中的具體適用。目前,證券群體訴訟的具體形式在各個國家都有其特殊的表現(xiàn)形式,一般來說在世界范圍內(nèi)具有代表性的的群體訴訟制度包括：以日本為代表的選定當事人訴訟制度；以德國為代表的團體訴訟制度；以美國為代表的集團訴訟制度以及我國《中華人民共和國民事訴訟法》規(guī)定的訴訟代表人制度等。本文分為四個部分,基本內(nèi)容如下：第一章是對我國證券市場群體訴訟的概述,主要介紹了我國證券市場侵權(quán)現(xiàn)狀以及我國證券民事訴訟的立法和司法現(xiàn)狀。在該章中筆者首先界定了群體訴訟和證券群體訴訟的概念,在此基礎上得出并列舉出世界范圍內(nèi)具有代表性的證券群體訴訟制度。同時通過對我國相關立法和司法實踐的考察分析,指出目前我國證券群體訴訟在立法和司法實踐中存在的一些問題和不足。第二章主要探討了如下兩個問題。一是對域外具有代表性的證券群體是訴訟制度的考察和分析。主要介紹了日本選定當事人、德國團體訴訟和美國證券集團訴訟的有關概念特征和構(gòu)成要件等。二是我國學者對完善我國證券群體訴訟制度的幾種觀點。在列舉了我國學者的幾種觀點后,筆者又在結(jié)合本文第二章對域外法進行考察分析的基礎上對我國學者的幾種觀點進行了評析。得出,在我國代表人訴訟存在上述學者所述的根本缺陷以及第一章中所述的存在立法缺陷和司法實踐不足的情況下,應積極借鑒或引入具備群體訴訟本應具有的價值和功能并符合我國國情和現(xiàn)實需要的制度的結(jié)論。因此,我國證券群體訴訟制度今后改革方向的設定應以群體訴訟的功能和其所應具有的價值導向為根本,以建立符合我國國情和證券市場發(fā)展情況的相應規(guī)制機制為基礎。同時,也要評估某種制度的引入可能帶來的一些負面和不良效果,并應合理預計能否建立相應的制約機制去防止此類負面效果的產(chǎn)生。第三章主要探討引入美國證券集團訴訟的價值(功能)以及障礙分析。在功能和價值導向下對美國證券集團訴訟所具有的功能和價值進行了分析。同時也對引入證券集團訴訟可能存在的障礙進行分析得出,這些障礙在我國體現(xiàn)的并不明顯或者說即使存在也可以通過制定相應制約機制進行克服。再結(jié)合當下我國證券市場情況,筆者認為引進證券集團訴訟已刻不容緩。第四章,一是主要對引入美國證券集團訴訟的態(tài)度、指導思想和路徑進行了闡述。在態(tài)度上筆者認為,應該在堅持引入美國證券集團訴訟大方向的基礎下,同時參照其他各國引入美國證券集團訴訟的經(jīng)驗,再加以結(jié)合我國的具體國情,設計出一套具有中國特色的證券集團訴訟方案。在指導思想上應進一步糾正我國證券市場重融資功能的偏見,切實加強和重視中小投資者保護。同時,在設計我國證券集團訴訟制度時應將相關的制度明確化、具體化,使其具有操作性。在具體的引入路徑上指出應分兩步走的策略。二是引入美國證券集團訴訟的具體方案設計。主要內(nèi)容包括：1、修改《民事訴訟法》并制定《證券集團訴訟法》；2、明確確立“選擇退出”規(guī)則；3、防止“濫訴”的制度設計；4、對其他集團成員的權(quán)利保障。
[Abstract]:Group lawsuit is the product of the social development of western countries in the post-modern stage, mainly the product of the contradiction between the small majority of disputes of scattered interests and the limitation of judicial function in the process of large-scale commodity production, sales and service. Its system design surpasses the one-to-one traditional lawsuit in terms of basic structure and objectives and functions. Securities group action is a specific application in solving group disputes in the field of securities market. At present, the specific forms of securities group action have their special manifestations in various countries. Generally speaking, the representative group action system in the world includes: the selected party action represented by Japan. This article is divided into four parts, the basic contents are as follows: The first chapter is a summary of the group action in China's securities market, mainly introducing China's securities market. In this chapter, the author first defines the concepts of group action and securities group action, and then draws and enumerates the representative securities group action system in the world. At the same time, through the relevant legislation and judicial practice in China. The second chapter mainly discusses the following two problems. One is the investigation and analysis of the representative securities groups outside the country are litigation systems. It mainly introduces the selected parties in Japan, German group litigation and American securities. Secondly, some viewpoints of the Chinese scholars on perfecting the system of securities group action are put forward. After enumerating several viewpoints of the Chinese scholars, the author comments on several viewpoints of the Chinese scholars on the basis of the investigation and analysis of the extraterritorial law in the second chapter of this paper. In the case of the fundamental defects mentioned by the above-mentioned scholars and the defects in legislation and judicial practice mentioned in the first chapter, we should actively draw lessons from or introduce the conclusion of the system which has the value and function of group action and conforms to the actual situation and needs of our country. The setting of the reform direction of the system in the future should be based on the function of group action and the value orientation it should have, and on the establishment of the corresponding regulatory mechanism in line with China's national conditions and the development of the securities market. Chapter 3 mainly discusses the value (function) and obstacle analysis of the introduction of American securities class action. It also analyzes the function and value of American securities class action under the guidance of function and value. By analyzing the obstacles, we can see that these obstacles are not obvious in our country or can be overcome by formulating corresponding restriction mechanism even if they exist. Combined with the current situation of China's securities market, the author believes that the introduction of securities class action is urgent. In my opinion, we should design a set of securities class action plan with Chinese characteristics on the basis of insisting on introducing the general direction of American securities class action and referring to the experience of other countries in introducing American securities class action. Ideologically, we should further correct the prejudice of refinancing function in China's securities market, strengthen and attach great importance to the protection of small and medium investors. At the same time, we should make the relevant system clear and concrete in the design of China's securities class action system, so as to make it operational. The main contents include: 1. amending the Civil Procedure Law and enacting the Securities Group Procedure Law; 2. defining the rules of "opting out"; 3. preventing "indiscriminate litigation"; 4. protecting the rights of other group members.
【學位授予單位】：南京大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：D922.287;D925.1

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本文編號：2202759