投服中心参与特别代表人诉讼调解机制的完善——以泽达易盛案为例  

Improvement of the Mediation Mechanism of the Investment Service Center Participating in the Special Representative Litigation:Taking the Essence Information Technology Co.,Ltd.Case as an Example

作　　者：刘辉 唐毅 LIU Hui;TANG Yi(School of Law,Hunan University,Changsha 410082,China)

机构地区：[1]湖南大学法学院,长沙410082

出　　处：《中国证券期货》2024年第4期90-96,共7页Securities & Futures of China

基　　金：国家社科基金项目“大数据时代金融数据安全法律保护研究”(项目编号:21BFX122)。

摘　　要：泽达易盛案是全国首例涉科创板上市公司特别代表人诉讼案,也是中国证券集体诉讼和解第一案。在本案中,投服中心以特别代表人的身份参与诉讼调解,其专业性与威慑力较强,能有效减少投资者的成本。同时,该案还对“保护投资者”与“维护市场稳定”、“诉讼效率”与“诉讼代表性”两对复杂关系进行了有效平衡,释放了建设良好营商环境的信号。然而,投服中心在参与集体诉讼调解时也面临法律困境,包括强制调解制度下身份冲突和调解运行与监督缺乏明确指引。为完善投服中心参与证券特别代表人诉讼调解法律制度,需要进一步明确投服中心身份定位,完善调解运行规则,优化监督规则,建立竞争机制和激励机制等。The Essence Information Technology Co.,Ltd.case is the first special representative litigation case involving a company listed on the Science and Technology Innovation Board(STB)in China,and also the first case of securities class action settlement in China.In this case,the Investment Service Center(ISC)participated in the litigation mediation in the capacity of a special representative,which has strong professionalism and deterrent effect,and can effectively reduce the cost of investors.At the same time,the case also made an analysis of the complex relationship between“investor protection”and“maintenance of market stability”,“litigation efficiency”and“litigation representativeness”,as well as the relationship between“investor protection”and“market stability”.At the same time,the case also effectively balanced the complex relationship between“protection of investors”and“maintenance of market stability”,“litigation efficiency”and“litigation representativeness”,releasing the signal of building a good business environment.However,ISC also faces legal difficulties when participating in class action mediation,including identity conflicts under the mandatory mediation system and the lack of clear guidelines on the operation and supervision of mediation.In order to improve the legal system of investment service center's participation in securities special representative litigation mediation,it is necessary to further clarify the identity and positioning of the investment service center,improve the mediation operation rules,optimize the supervision rules,and establish the competition mechanism and incentive mechanism.

关 键 词：投服中心 特别代表人诉讼 诉讼调解 泽达易盛案 投资者保护 

分 类 号：D926[政治法律—法学] D922.287