证券领域行政执法案例指导制度构建——以140个证监稽查典型违法案例为分析样本  

Construction of Administrative Law Enforcement Case Guidance System in Securities Field--Taking 140 Typical Illegal Cases Investigated by the CSRC as Analysis Samples

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作  者:陈劲竹 Chen Jingzhu

机构地区:[1]北京大学法学院,北京100871

出  处:《上海金融》2024年第8期69-79,共11页Shanghai Finance

基  金:国家社科基金青年项目“行政法视野下公共惩罚结构失衡之调适研究”(21CFX064)。

摘  要:在推进行政执法案例指导制度背景下,为弥补证券领域指导案例的缺位,证券典型案例应效仿行政执法指导案例构成要件,凸显灵活性与及时性,因应资本市场需要和监管执法规律,在专业领域发挥“准指导”功能。通过对140个证监稽查典型违法案例的分析表明,证券典型案例在形式上存在发布途径和格式不统一、分布不均衡、撰写不精细等问题;在实质上未契合面向精准执法、行刑衔接和“威慑-合作”型执法模式的监管改革,难以发挥案例指导功能。应找准不同层级案例的特别定位,发挥不同监管主体的职能优势,构建由“证监会指导案例-证监会典型案例-各地证监局典型案例”组成的三层次证券执法案例指导制度体系。Under the background of promoting the guidance system of administrative law enforcement cases,in order to make up for the lack of guidance cases in the field of securities,typical securities cases should emulate the elements of administrative law enforcement guidance cases,highlight flexibility and timeliness,meet the needs of the capital market and the law of regulatory law enforcement.Thereby,they can serve a“quasi-guidance”role in the professional field.Through the analysis of 140 typical illegal cases of securities supervision and inspection,it shows that there are some problems in the form of the typical cases,such as non-uniform release way and format,unbalanced distribution and imprecise writing.In essence,it is not in line with the regulatory reform for accurate law enforcement,execution convergence and“deterrence-cooperation”law enforcement model,and it is difficult to play the case guidance function.Therefore,we should find out the special positioning of cases at different levels,give play to the functional advantages of different regulatory bodies,and build a three-level securities law enforcement case guidance system composed of“guidance cases issued by the CSRC-typical cases issued by the CSRC-typical cases issued by local securities regulatory bureaus”.

关 键 词:行政执法案例指导制度 证券监管 指导案例 典型案例 

分 类 号:D922.1[政治法律—宪法学与行政法学] F830.91[政治法律—法学]

 

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