本文選題：自律監(jiān)管 + 司法審查　； 參考：《華東政法大學(xué)》2013年碩士論文

【摘要】：證券交易所作為為證券交易提供場(chǎng)所與設(shè)施的自律組織，自律監(jiān)管權(quán)是其一項(xiàng)重要的權(quán)利。自律監(jiān)管本身具有專業(yè)性、靈活性等優(yōu)勢(shì)，然而這也不能掩蓋自律監(jiān)管本身的缺陷和不足。在我國(guó)特定的環(huán)境下，證券交易所的這種自律監(jiān)管權(quán)又被政府賦予了濃厚的行政權(quán)力色彩，為了防止證券交易所自律監(jiān)管權(quán)的濫用，我們有必要對(duì)這種權(quán)力加以必要的約束。那么我們應(yīng)該如何來(lái)約束交易所的自律監(jiān)管權(quán)呢？ 司法審查作為一種重要的外部力量，由其來(lái)對(duì)證券交易所的自律監(jiān)管權(quán)進(jìn)行約束是再合適不過(guò)的了。但是物極必反，司法如果過(guò)度的介入交易所的自律監(jiān)管，將會(huì)喪失交易所的自治性、自律性。為此我們應(yīng)當(dāng)準(zhǔn)確把握司法審查的優(yōu)勢(shì)與缺陷，確立一個(gè)合理的司法審查范圍，努力構(gòu)建一個(gè)完善的司法審查制度，防止司法盲目、過(guò)度地介入自律監(jiān)管。 就本文而言，文章第一章對(duì)證券交易所的自律監(jiān)管做了一個(gè)概述。第一節(jié)關(guān)于自律監(jiān)管的基本內(nèi)涵、法律基礎(chǔ)的介紹讓我們對(duì)自律監(jiān)管有了一個(gè)初步的認(rèn)識(shí)；第二節(jié)對(duì)自律監(jiān)管優(yōu)勢(shì)的介紹，使我們更進(jìn)一步認(rèn)識(shí)了自律監(jiān)管，認(rèn)識(shí)到交易所的自律監(jiān)管對(duì)證券市場(chǎng)的健康發(fā)展的重要性。 第二章在第一章的基礎(chǔ)上，，對(duì)自律監(jiān)管司法審查制度做了完整介紹，包括概述、司法審查原則和司法審查的益處三個(gè)部分，通過(guò)這部分的文字介紹，讓我們了解到了司法審查的必要性。 第三章是對(duì)我國(guó)自律監(jiān)管和自律監(jiān)管司法審查現(xiàn)狀的一個(gè)描述。第一節(jié)是關(guān)于我國(guó)證券交易所自律監(jiān)管現(xiàn)狀的描述，第二節(jié)是關(guān)于我國(guó)自律監(jiān)管司法審查現(xiàn)狀的描述。本章是本文不可或缺的部分，因?yàn)橹挥袑?duì)現(xiàn)狀有了清醒的認(rèn)識(shí)，才會(huì)提出更好的完善建議。 第四章是在前三章的基礎(chǔ)上，對(duì)我國(guó)自律監(jiān)管司法審查制度的構(gòu)建提出了建議。提出了設(shè)置內(nèi)部救濟(jì)用盡制度，建立證券交易所內(nèi)部協(xié)商機(jī)制，完善司法審查運(yùn)行機(jī)制的構(gòu)想，并對(duì)每一個(gè)構(gòu)想都進(jìn)行了細(xì)致的分析。
[Abstract]:As a self-regulatory organization which provides the place and facilities for securities trading, the right of self-regulation is an important right. Self-regulation has its own advantages, such as professionalism, flexibility and so on, but it can not cover up the defects and shortcomings of self-regulation. Under the specific environment of our country, this kind of self-regulatory power of stock exchange is endowed by the government with strong administrative power color. In order to prevent the abuse of self-regulatory power of stock exchange, it is necessary for us to restrict this kind of power. So how should we restrain the self-regulatory power of the exchange? Judicial review as an important external force, it is most appropriate to restrict the self-regulatory power of the stock exchange. However, if the judicature is too involved in the self-regulation of the exchange, it will lose the autonomy and self-discipline of the exchange. Therefore, we should accurately grasp the advantages and disadvantages of judicial review, establish a reasonable scope of judicial review, strive to build a perfect judicial review system, prevent judicial blindness and over-intervene in self-discipline supervision. As far as this paper is concerned, the first chapter gives an overview of the self-regulation of stock exchanges. The first section on the basic connotation of self-regulation, the introduction of the legal basis let us have a preliminary understanding of self-regulation; the second section of the advantages of self-regulation, so that we further understand self-regulation, Recognize the importance of self-regulation of exchanges to the healthy development of the securities market. The second chapter, based on the first chapter, makes a complete introduction to the self-regulatory judicial review system, including an overview, the principles of judicial review and the benefits of judicial review, through the text of this part of the introduction, Let us understand the necessity of judicial review. The third chapter is a description of the current situation of self-regulation and self-regulation judicial review in China. The first section is a description of the current situation of self-regulation of stock exchanges in China, and the second section is a description of the current situation of judicial review of self-regulatory supervision in China. This chapter is an indispensable part of this article, because only if we have a clear understanding of the present situation, we will put forward better suggestions. On the basis of the first three chapters, the fourth chapter puts forward some suggestions on the construction of judicial review system of self-regulation supervision in China. This paper puts forward the idea of setting up the system of exhaustion of internal relief, establishing the internal consultation mechanism of the stock exchange, and perfecting the running mechanism of judicial review, and makes a detailed analysis of each idea.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：D922.287

【參考文獻(xiàn)】

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相關(guān)碩士學(xué)位論文 前2條

1 陳巍;論證券交易所的自律監(jiān)管[D];華中師范大學(xué);2008年

2 彭大為;論證券交易所自律監(jiān)管的司法審查[D];湖南大學(xué);2012年

本文編號(hào)：1812705