游走于实然与应然之间的金融纠纷非诉讼调解机制——以上海为例  

Non-litigation Mediation Mechanism in Resolving Financial Disputes Wandering between Law as It Is and Law as It Ought to Be:An Empirical Study of Shanghai

作　　者：余涛[1] 沈伟[1] 

机构地区：[1]上海交通大学凯原法学院,上海200030

出　　处：《上海财经大学学报（哲学社会科学版）》2016年第1期117-128,共12页Journal of Shanghai University of Finance and Economics

摘　　要：金融纠纷非诉讼调解机制的建立符合纠纷解决机制多元化的发展趋势。上海金融纠纷非诉讼调解机制建设过程中最突出的问题是虚置的第三方调解机制造成了制度资源的极大浪费;证券调解机制违反了供求关系理论和司法确认非诉调解协议的法理缺失。完善上海金融纠纷非诉讼调解机制不仅能够优化资源配置,而且可以为金融市场提供合理有效的争端解决平台。具体的改进方法可以包括:整合现有制度资源以提高其利用率;根据非诉讼调解机制的性质设置不同的激励机制;以调解协议与仲裁裁决对接的方法替代司法确认的方法。The establishment of non-litigation mediation mechanism in resolving financial disputes adheres to the trend of diversifying the dispute settlement mechanisms. However, when it comes to Shanghai, it easily sees these prominent problems： the third-party mediation mecha- nism has caused great waste of institutional resources; securities mediation mechanism violates the basic economics principle of supply and demand; judicial confirmation of non-litigation media- tion agreements could distort some basic norms in mediation law. The completion of Shanghai non-litigation mediation mechanism in resolving financial disputes not only can optimize resources allocation, but also provides reasonable and effective dispute settlement platforms for financial markets. Specific improvement measures are as follows： firstly, current institutional resources should be integrated to enhance the usage efficiency; secondly, various incentives can be offered according to the features of non-litigation mediation mechanisms; last but not least, the docking of conciliation agreements and arbitration awards replace judicial confirmation.

关 键 词：金融纠纷 非诉讼调解 行业调解 第三方调解 

分 类 号：D925.114[政治法律—诉讼法学]