论《证券法》域外管辖权条款的规范属性  

On the Normative Nature of the Extraterritorial Jurisdiction Clause in the Securities Law

作　　者：余涛 YU Tao

机构地区：[1]东南大学法学院

出　　处：《中国政法大学学报》2025年第1期186-198,共13页Journal Of CUPL

基　　金：国家社会科学基金青年项目“新《证券法》实施背景下存托凭证信息披露规范的适用研究”(项目编号:20CFX049)的阶段性成果;中央高校基本科研业务费专项资金资助。

摘　　要：《证券法》第2条第4款是域外管辖权条款。域外管辖权、域外适用、域外效力是我们准确理解第2条第4款规范属性的前提性概念,它们三者是前后相继的关系。从反面来看,第2条第4款不是域外适用规则、域外效力规范或域外民事司法规范;从正面来看,目的解释和体系解释都显示第2条第4款属于域外执法管辖权规范。它的基本功能是赋予我国证券监管机构单方的、直接的域外执法管辖权,以激活我国证券法在行政执法意义上的域外效力。第2条第4款是程序性规范但域外执法管辖权的启动是实体性问题,它的适用动因是国家主权原则。第2条第4款可以被预防性适用和救济性适用,二者的理论依据分别是保护管辖原则和客观属地管辖原则。Article 2 section 4 of the Securities Law pertains to extraterritorial jurisdiction.Extraterritorial jurisdiction,extraterritorial application,and extraterritorial effect are the fundamental concepts necessary for accurately understanding the normative nature of Article 2 section 4.These three concepts are sequentially related.From a negative perspective,Article 2 section 4 is not a rule for extraterritorial application,a norm of extraterritorial effect,or an extraterritorial civil judicial norm.From a positive perspective,both purposive and systematic interpretation indicate that Article 2 section 4 pertains to extraterritorial law enforcement jurisdiction.Its primary function is to grant securities regulators unilateral and direct extraterritorial law enforcement jurisdiction,thereby activating the extraterritorial effect of Securities Law in terms of administrative law enforcement.While Article 2 section 4 is a procedural rule,the initiation of extraterritorial law enforcement jurisdiction is a substantive issue,driven by the principle of national sovereignty.It can be applied preventively or remedially,with the theoretical foundations for these applications being the protective principle of jurisdiction and the objective territoriality principle,respectively.

关 键 词：域外效力 域外管辖权 预防性适用 救济性适用 

分 类 号：D912.28[政治法律—民商法学]