国际中文开源期刊平台

证券法代表人诉讼程序解读与程序转换问题研究

Study on the Interpretation of Securities Law Representative Actions and the Conversion of Procedures

社会科学进展 / 2024,6(2)：290-306 / 2024-05-16 49 88

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• 作者： 夏雅琪     
• 单位：

  上海政法学院法律学院，上海

• 关键词： 证券纠纷；特别代表人诉讼；程序转换；投资者保护
• Securities disputes; The special representative litigation; Conversion of procedures; Investor protection
• 摘要： 新修订的《证券法》设立了特别代表人诉讼制度，以维护中小投资者合法权益、提高诉讼效率为宗旨，最高院及投保机构等主体对该制度的实施规则予以细化。而回溯我国证券领域诉讼机制的嬗变过程，关注普通代表人诉讼与特别代表人诉讼的程序衔接问题，发现目前我国证券代表人诉讼中存在权利人范围认定不一致、可能产生矛盾判决、代理人存在利益冲突，以及投保机构选案标准未明确等问题。因此，立足于我国证券市场实际情况，对我国的诉讼机制提出完善建议，以落实我国特色的证券代表人诉讼制度，促进证券市场良性发展。
• The newly revised Securities Law established the special representativelitigation system for the purpose of safeguarding the legitimate rights andinterests of small and medium-sized investors and improving the efficiency oflitigation, after which the implementation rules of the system were refined bythe Supreme Court and insurance agencies and other subjects. The process oftransmutation of the litigation mechanism in the field of securities in China,focusing on the procedural interface between ordinary representative litigation and special representative litigation, it is found that there are inconsistentidentification of the scope of rights holders, the possibility of contradictoryjudgments, the existence of conflicts of interest of agents and the selectioncriteria of insurance institutions are not clear. Therefore, based on the actualsituation of China’s securities market, we propose to improve the litigationmechanism in China in order to implement the securities representativelitigation system with Chinese characteristics and promote the healthydevelopment of the securities market.
• DOI： https://doi.org/10.35534/pss.0602024
• 引用： 夏雅琪．证券法代表人诉讼程序解读与程序转换问题研究［J］．社会科学进展，2024，6（2）：290-306.