论文部分内容阅读
证券纠纷调解机制是非诉方式解决纠纷的一种途径,具有专业性强、权威度高、便捷高效、成本低廉的特点,在证券资本市场发达的国家普遍适用。美国金融业监管局(FINRA)和德国私人银行在证券纠纷调解上有着较为成熟的体制和运行机制,有着一整套调解的程序规则。我国需要在《证券法》修改中强化证券纠纷调解制度设计,在调解主体,受案范围,经费和程序等方面作出规定,建立适应我国证券市场特点的专业调解机制,为快速、有效地调解纠纷提供制度基础。
The system of mediation of securities disputes is a way to solve disputes by non-vindicative methods. It has the characteristics of strong professionalism, high authority, convenient and high efficiency, low cost and is generally applicable in countries with developed securities and capital markets. The FINRA and the German private bank have relatively mature systems and operating mechanisms for the mediation of securities disputes and have a set of procedural rules for mediation. China needs to strengthen the design of securities dispute mediation system in the revision of “Securities Law”, make provisions in terms of mediation subject, acceptance scope, funds and procedures, establish a professional mediation mechanism that adapts to the characteristics of the securities market in our country, in order to promptly and effectively mediate disputes Provide the system basis.