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【600192股吧】证券期货纠纷解决添新出路(2015-06-26)


600192股吧——北京阳澄湖大闸蟹

  昨天,中国证券中小投资者服务中心有限公司、上海证监局、上海市第一中级人民法院签署了《证券期货纠纷多元解决机制合作协议》,这是“公平”投资者保护专项活动的重要组成部分中国证券监督管理委员会主席。
  据了解,《合作协议》对案件调解范围、对接内容、调解协议效力确认等作出了明确规定。For example, in the scope of case mediation, the types of cases mainly include civil disputes between investors and information disclosure subjects such as listed companies; disputes between investors and infringers such as insider trading and market manipulation; civil disputes between investors and securities, funds, futures and other business institutions, as well as other securities and Futures civil disputes that should be solved by mediation.

600192股吧

  Rui Yuehua, chairman of China Securities small and Medium Investors Service Center Co., Ltd., pointed out that the signing of the cooperation agreement on the multiple dispute resolution mechanism of securities and futures has positive significance for effectively resolving contradictions and disputes in the securities and futures market and exploring the establishment of a diversified securities and Futures Dispute Resolution Mechanism combining litigation and professional mediation.Using mediation mechanism to resolve contradictions and disputes in the securities and futures market is in line with the regulatory transformation needs of the CSRC from pre approval to in-process and post supervision.It is conducive to safeguarding the legitimate rights and interests of investors, especially small and medium-sized investors, boosting the construction of the rule of law in the capital market, and promoting the stable and healthy development of the capital market.
  As a public welfare financial institution directly managed by China Securities Regulatory Commission, one of its responsibilities is to provide mediation and reconciliation services for the majority of small and medium investors entrusted by small and medium investors.Data show that since September 2014, the Investor Service Center has received 192 cases, of which 107 cases have ended in mediation, 105 have been successful, the success rate of mediation is 98%, and the mediation amount is 14 million 630 thousand yuan.The investors involved in the mediation have expanded to 19 provinces and cities including Beijing, Tianjin and Guangdong.Among them, 97.92% of the cases have been accepted.The successful mediation of such disputes, to a certain extent, fills the gap in the mediation of the capital market.

600192股吧——002019股吧

  The reporter also interviewed the person in charge of the Investor Service Center on issues related to this cooperation

  Q: it is an important part of investor protection to improve the rights protection and relief mechanism for securities and futures disputes.Would you like to introduce the background and role of the cooperation of multiple settlement mechanisms for securities and futures disputes?
  A: under the new situation of the development of the current capital market, the appeal for equity relief of small and medium-sized investors is becoming stronger and stronger.但我国证券期货纠纷的救济尚处于起步阶段,与投资者的要求仍有差距:一是目前的救济模式以诉讼为主,维权成本高、举证难、耗时长、赔偿比例低。二是证券期货纠纷专业调解尚不成熟,诉讼调解与调解对接机制仍需完善。第三,平衡协调利用有限的监管和执法资源,遏制违法者之间的紧张关系,切实保护被侵权投资者的权益。

600192股吧——嘉宝集团

  在此背景下,投资者服务中心在以往与法院调解合作实践的基础上,正式与法院签订了证券期货纠纷多元解决机制合作协议,建立了诉讼调解对接合作机制。
  证券期货纠纷多元解决机制合作签约活动是中国证监会“公平在你身边”投资者保护专项活动系列内容之一。这是各方共同努力深化改革创新,让投资者真正受益的典范。通过试点签约建立诉讼调解对接机制,一方面可以畅通调解与诉讼的对接渠道,为投资者提供便捷的纠纷解决渠道;另一方面可以使调解协议能够及时得到司法机关的确认,提高调解协议的法律效力和执行力,从而保证纠纷的实质性解决,使投资者权益保护救济落到实处。此外,通过诉讼与调解对接,配合法院开展纠纷调解,有利于减轻法院办案压力,完善多元化纠纷解决机制,推动法院证券期货纠纷审判机制改革。

  Q: 证券期货纠纷多元解决机制中的合作主要有哪些类型和形式?

600192股吧——300003

  A: 上海市第一人民法院辖区也是几大交易所及相关金融机构的聚集地。上海市第一人民法院管辖的浦东金融法院和自贸区法院是上海法院制度改革创新试点的排头兵。作为中国证监会设立的为投资者维权救济提供调解等法律服务的公益性机构,投资者服务中心与上海市第一中级人民法院证券期货纠纷多元化解决机制的合作,将有效促进证券期货纠纷调解的发展。
  根据合作协议,本案范围主要针对证券期货行业,包括投资者与上市公司之间的民事纠纷,投资者与内幕交易、操纵市场等侵权人之间的纠纷,投资者与证券、基金、期货等经营机构之间的民事纠纷,以及其他证券、期货应当通过调解解决的民事纠纷。

  诉讼调解对接的合作形式主要包括:正式立案前,法院指定调解,签订和解协议;立案后,开庭前,法院委托调解;审判过程中,法院邀请调解。后两种情况下,当事人可以向法院申请撤诉,也可以向法院申请进行民事调解。诉讼调解不影响诉讼的正常进行,调解的期限在判决前。

  Q: 三方证券期货纠纷解决机制的合作能否在全国形成示范作用,进而在全国法院系统逐步推进试点?
  答:上海市第一中级人民法院、上海证监局、投资者服务中心在证券期货纠纷多元解决机制方面的合作,标志着双方合作交流进入了一个新阶段,并将逐步探索和创新保护中小投资者合法权益的方式方法,努力形成示范效应。

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