我国证券律师勤勉尽责义务认定思路反思及完善——基于十一起证券律师未勤勉尽责追责案例的考察  

Reflection and Improvement on Identification of Due Diligence Duty of Chinese Securities Lawyers: Based on an Investigation into Henen Cases of Action for Failure of Securities Lawyers to Fulfill Due Diligence

作　　者：万国华[1] 聂风玲 WAN Guohua;NIE Fengling

机构地区：[1]南开大学法学院

出　　处：《中国证券期货》2022年第3期76-85,共10页Securities & Futures of China

基　　金：国家社会科学基金重大项目专项课题“社会主义核心价值观与我国商事立法完善”(项目编号:17VHJ001)的阶段性成果。

摘　　要：近年来,国家加大了对证券市场的监管力度,我国于2019年对《证券法》进行修订,大幅提高了对证券违法违规行为的处罚幅度。现有司法实践在勤勉尽责认定思路上存在难以适应《证券法》条文变化、调查事项区分尚不明晰以及特别注意义务尽责标准过高等问题。探查美国证券律师勤勉尽责抗辩司法演进历程,可以发现美国法院在尽责抗辩问题上以“合理性”为立足点,从行业的一般水平出发,在抗辩的判断上尤其强调专业分工,维护证券市场秩序与追求证券市场效率两者并重,这也同样契合我国《证券法》之宗旨。从我国国情以及域外思路双重考量来看,证券律师勤勉尽责认定思路应从随《证券法》的修订强化原因力考察、谨慎认定专业事项向非专业事项转化、合理看待“特别的注意义务”等方面加以完善。In recent years, China has strengthened the regulation of the securities market, and made amendments to the Securities Law in 2019,which significantly increased the range of penalties for securities violations.In the existing judicial practice, it is difficult to adapt to the changes of the provisions in the Securities Law, the distinction of investigation matters is still unclear, and the standard of due diligence for the duty of care in professional matters is too high.The judicial evolution of the due diligence defense of the U.S.securities lawyers can be found that the U.S.courts take “reasonableness” as the foothold in the due diligence defense and start from the general level of the industry, especially emphasizing the professional division of labor in the judgment of the defense, maintaining the order of the securities market and pursuing the efficiency of the securities market.From the dual viewpoint of China’s national situation and foreign experience, securities lawyers’ due diligence should be improved by strengthening the examination of the force of cause with the amendment of the Securities Law, cautiously identifying the transformation of professional matters to non-professional matters, and reasonably viewing the “special duty of care”.

关 键 词：《证券法》 勤勉尽责 一般的注意义务 特别的注意义务 

分 类 号：D92[政治法律—法学]