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证券行政处罚与刑事制裁衔接中存在的问题主要体现在立案移送、证据的运用及认定、处理结果以及强制措施的实施等方面。产生衔接难的原因既有行政处罚与刑事制裁衔接难的一般原因,也有证券领域中的特殊原因。解决证券行政处罚与刑事制裁衔接难的指导思想应立足于证券监管要求管制权的高度集中以及证券监管要求的高度专业性,同时应以“同步协调”原则和“效率优先”的价值取向来建构我国证券领域行政处罚与刑事制裁的衔接机制。
The problems in the interface between securities administrative sanctions and criminal sanctions are mainly reflected in the case transfer, the use and identification of evidence, the results of the handling and the enforcement of coercive measures. Difficulties arising from the convergence of existing administrative penalties and criminal sanctions convergence of the general reasons for the securities field there are special reasons. The guiding ideology of resolving the problem that the connection between the securities administration punishment and the criminal sanctions are difficult should be based on the high concentration of the regulatory power of securities regulatory requirements and the high professionalism of securities regulatory requirements. At the same time, the principle of “simultaneous coordination” and “priority of efficiency” Value orientation to construct the connecting mechanism of administrative sanctions and criminal sanctions in the securities field of our country.