投保机构在证券集团诉讼中的定位与改革  

The Position and Reform of Investor Protection Organization in Securities Class Action

作　　者：王娜 WANG Na(Economic Law school of East China University of Political Science and Law,Shanghai 200042,China)

机构地区：[1]华东政法大学经济法学院,上海200042

出　　处：《福建金融管理干部学院学报》2021年第4期20-26,共7页Journal of Fujian Institute of Financial Administrators

摘　　要：证券群体性纠纷的化解是世界各证券市场面临的共同难题,新《证券法》第95条第3款为这一难题提供了中国版的解决方案。投资者保护机构作为中小投资者利益的天然代言人在证券集团诉讼中处于核心地位,为真正激活这一制度,应做好规则制度的顶层设计,明确诉讼启动的实体条件和相应程序,受理兼具群体性与公益性的案件,通过设立集团成员代表委员会,建立高效的集团成员监督机制,并进一步对投资者保护机构进行改革,开放投资者保护机构的竞争以更好地适应现实需求。The resolution of mass disputes in securities is a common problem faced by all securities markets in the world. Article 95, paragraph 3 of the new "Securities Law" provides a Chinese version of the solution to this problem.As a natural spokesperson for the interests of small and medium-sized investors, the investor protection organization is the core of the securities class action.In order to truly activate this system, The top-level design of the rules should be well designed.It is necessary to clarify the actual conditions and corresponding procedures for the initiation of the litigation firstly, accept cases that are both group and public interest.Through the establishment of a group member representative committee, an efficient group member supervision mechanism is established, and investor protection organization are further reformed, and the competition of investor protection institutions is opened to better adapt actual needs.

关 键 词：投保机构 投资者保护 证券集团诉讼 群体性纠纷 金融监管 

分 类 号：F832.5[经济管理—金融学] D922.287[政治法律—经济法学]