职业伦理视阈下证券律师的行业管理  

Disciplinary Management of Securities Lawyers under the Perspective of Professional Ethics

作　　者：许身健 卢迪[3] XU Shenjian;LU Di

机构地区：[1]中国政法大学法律硕士学院,北京100088 [2]中国伦理学会法律伦理专业委员会 [3]中国政法大学,北京100088

出　　处：《贵州民族大学学报（哲学社会科学版）》2024年第4期116-131,共16页Journal of Guizhou Minzu University:Philosophy and Social Sciences

基　　金：2016年北京市社会科学基金一般项目“司法改革背景下的法律职业伦理研究”(16FXB002)阶段性成果。

摘　　要：近年来,证监会逐步加大对证券律师行业的管控力度,而作为律师行业自律组织的律师协会对此现象一直保持缄默,引发实务界和理论界的广泛关注和争议。证券律师作为特殊行业律师,承担着“看门人”和“代理人”的双重角色,这使得他们在职业伦理上面临冲突,职业伦理违规行为也时有发生。对此,自律的失灵存在客观原因,而他律的介入有其合理性。基于我国证券律师行业管理现状,借鉴境外证券律师行业管理经验,应当加强他律与自律主体间的合作,在现有律师职业伦理规范中加入对证券律师的特殊要求,建立证券监督机关、司法行政部门与律师协会之间的信息共享机制,强化对证券律师的内部惩戒,建立证券律师行业联合惩戒制度。同时,细化明确证券律师选择规则,建立同行评审制度。In recent years China Securities Regulatory Commission has gradually strengthened its control over the profession of securities lawyers while the Lawyers Association,a self-disciplining organization of the lawyers profession,has kept quiet,arousing extensive concerns and debates practically and academically.Securities lawyers--special industry lawyers shoulder the dual roles of"gatekeepers"and"agents",which may involve them in conflicts in terms of professional ethics and cause them to act against professional ethics at times.Hence,self-disciplining may be ineffective whereas external disciplining may be necessary and rational.Based on the management status quo of China′s securities lawyers profession and with reference to other countries′management experiences regarding the securities lawyers profession,this paper assumes that we should strengthen the cooperation between external disciplining and self-disciplining subjects,add special requirements concerning securities lawyers,establish an information sharing mechanism between securities supervising organs,judiciary and administrative departments,and lawyers associations,consolidate the internal punishment as to securities lawyers,and establish a joint punishment system for the securities lawyers profession.Meanwhile,we should detail and clarify the selection rules regarding securities lawyers,and establish a peers-rating system.

关 键 词：职业伦理 证券律师 证监会 行业管理 

分 类 号：D922.1[政治法律—宪法学与行政法学]