证券纠纷特别代表人诉讼的理论反思与规范解释  

The Theoretical Reflection and Normative Interpretation of Special Representative Litigation in Securities Disputes

作　　者：陈国欣 CHEN GUOXIN(Graduate School of Law,Waseda University,Tokyo 169-8050,Japan)

机构地区：[1]早稻田大学法学研究科,日本东京169-8050

出　　处：《大连理工大学学报（社会科学版）》2024年第2期67-76,共10页Journal of Dalian University of Technology(Social Sciences)

基　　金：国家社会科学基金重点项目“以人民为中心的民事司法程序前沿问题研究”(20AZD118);中国国家留学基金项目“国家建设高水平大学公派研究生项目”(CSC202107070009)。

摘　　要：出于公益维护的目的,最高人民法院在起草《证券诉讼规定》时,为证券纠纷特别代表人诉讼添加了许多公益色彩。“公益目标”和“私益内核”的双重影响,使得证券纠纷特别代表人诉讼的性质不明,不仅导致投保机构的诉讼地位和权利界限不清,还导致特别代表人诉讼和普通代表人诉讼的关系紧张。以民事诉讼学界对“公共利益”“私益诉讼维护公益”的研究为依据,可论证证券纠纷特别代表人诉讼的性质是私益诉讼。在此基础上,一方面,结合任意诉讼担当理论,可准确界定特别代表人诉讼中法院、投保机构和投资者的关系,厘清投保机构的诉讼地位和权利界限,并重新解释《证券诉讼规定》第21条和第22条。另一方面,结合普通共同诉讼理论,可重新界定并消除特别代表人诉讼和普通代表人诉讼的紧张关系,并重新解释《证券诉讼规定》第32条。For the purpose of public interest protection,the Supreme People's Court of China gave special at-tention to the public interest nature of the Special Representative Litigation in securities disputes in the process of drafting the Securities Litigation Regulations.The dual influence of"public interest purpose"and"private interest kernel"blurs the nature of Special Representative Litigation in securities disputes,which in turn not only leads to an uncertainty of the litigation status and rights of investor protection agencies,but also leads to a tension between Special Representative Litigation and Ordinary Representative Litigation.Based on the study of"public interest"and"private interest litigation for public interest"in civil procedure law,it can be argued that the nature of Special Representative Litigation in securities disputes is private interest litigation.Thus,on one hand,by drawing on the theory of Arbitrary Litigation Undertaking,we can accurately define the relationship between the court,the investor protection agency and the investor in the Special Representative Litigation,clarify the status and rights of the investor protection agency,and reinterpret Article 2l and Article 22 of the Securities Litigation Regulations.On the other hand,by drawing on the common lawsuit theory,we can redefine and eliminate the tension between Special Representative Litigation and Ordinary Representative Litigation,and reinterpret Article 32 of the Securities Litigation Regulations.

关 键 词：证券纠纷 共同诉讼 代表人诉讼 诉讼担当 诉讼实施权 

分 类 号：D915.2[政治法律—诉讼法学]