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基于对行政执法效率和行政执法资源合理配置的考量,证券领域开始积极试点行政和解制度。证券行政和解制度中隐藏着一些风险,在和解过程中建立程序性制度帮助投资者有效地行使参与权与知情权,能最大可能地降低这些风险。结合我国最近出台的《行政和解试点实施办法》和《行政和解金管理暂行办法》,以程序性规范为路径对投资者参与权和知情权的实现机制提出合理化建议。
Based on the consideration of the efficiency of administrative law enforcement and the rational allocation of administrative law enforcement resources, the securities field has begun to actively pilot the administrative reconciliation system. Some risks are hidden in the system of securities administrative reconciliation. Establishing a procedural system in the process of reconciliation helps investors effectively exercise their rights of participation and information, and these risks can be reduced to the greatest extent possible. Based on the “Measures for the Implementation of Administrative Reconciliation Pilot” and the “Interim Procedures for Administration and Settlement Administration” recently promulgated by China, we put forward reasonable suggestions on the procedural norms as the path to realize the mechanism of investor participation and the right to information.