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证券特别代表人处分性诉讼行为的法院审查研究

Research on Court Review of Dispositive Litigation Behavior of Securities Special Representatives

法学进展 / 2024,6(4)：461-472 / 2024-11-15 87 77

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• 作者： 陈烨     
• 单位：

  西南政法大学，重庆

• 关键词： 特别代表人诉讼；处分性诉讼行为；法院审查权；任意诉讼担当
• Special representative litigation; Dispositive litigation behavior; The court's right to review; Discretionary litigation undertaking
• 摘要： 证券特别代表人诉讼制度具有特殊的诉讼实施权配置方式、特别授权模式和原告确定规则，这决定了法院审查代表人的处分性诉讼行为具有现实必要性和特殊性。目前，法院对特别代表人处分性诉讼行为的审查制度存在启动条件不合理、审查标准不明确的缺陷，该制度缺陷的共性原因都指向法院审查之正当性理论基础尚未有定论的问题。证券特别代表人诉讼具有私益本质，“诉讼公益性”难以成为该制度的底层逻辑；特别代表人诉讼适用任意诉讼担当的赋权模式，“法院作为充分实现被代表人异议权之媒介”的解释路径具有合理性。基于法院审查的“媒介”定位，有必要重新构建法院审查的制度内容，审查代表人处分性诉讼行为的启动条件、内容范围，以及标准均应以“充分实现被代表人异议”为导向；同时针对审查前后对当事人的提示与说明等配套制度进行完善。
• The special representative litigation system of securities has special configuration of litigation implementation right, special authorization mode and plaintiff determination rules. At present, the court on the special representative of the dispositive litigation behavior of the review system there are unreasonable starting conditions, the review of the standard is not clear defects, the system defects of the common cause of the theoretical basis of the court review of the legitimacy of the problem has not yet been determined. The special representative of securities litigation has the nature of private interests, “litigation public interest” is difficult to become the underlying logic of the system; the special representative of the litigation to apply discretionary litigation undertaking to take the empowerment mode, “the court as a full realization of the objections of the right of the representative of the medium” of the path of interpretation. The interpretation path of “the court as the medium to fully realize the right of the represented person to object” has rationality. Based on the medium position of the court review, it is necessary to reconstruct the system content of the court review, the review of the starting conditions, the scope of the content of the representative of the dispositive litigation behavior and the standard should be “full realization of the objections by the representative” as the guidance; at the same time, improve the the supporting systems for the review of the parties before and after.
• DOI： https://doi.org/10.35534/al.0604038
• 引用： 陈烨．证券特别代表人处分性诉讼行为的法院审查研究［J］．法学进展，2024，6（4）：461-472.