证券仲裁法律制度研究

【作者】 王秉乾；

【导师】 沈四宝；

【作者基本信息】 对外经济贸易大学 ， 国际法， 2004， 硕士

【摘要】 随着中国加入WTO，证券业具有了越来越重要的地位和作用，引起社会的广泛关注。但是，我国证券业的发展遇到了一系列问题，缺乏有效的争议解决机制就是其中之一。本文试从这一角度出发，借鉴美国的经验，多角度、多层次地阐述如何构建、完善我国证券仲裁法律制度。本文共分四章。第一章主要从宏观角度指出了构建证券仲裁制度的大背景，即我国缺乏高效、低成本的证券争议解决机制。该问题主要体现在两个方面，即我国既缺乏有效的司法救济，也缺乏非诉讼争议解决方式。第二章主要突出了我国目前证券仲裁制度存在的主要问题及其原因，从证券仲裁的历史和现状两个方面展开论述。第三章主要论述了证券仲裁的优点及其价值。本章分为三节，从理论和实际相结合的角度分别分析了证券争议的特点、仲裁的特点，以及仲裁适用于证券争议所具有的优点和其特殊的价值。其中，第三节为本文的重点之一。第四章主要论述完善我国证券仲裁法律制度的建议。本章分为三节：第一节简要介绍了美国证券仲裁制度的特点和对我国的借鉴意义；第二节则从宏观角度出发提出了进一步建设、发展、完善我国证券仲裁制度的若干建议；第三节则着重研究了证券仲裁规则的14个相关问题并提出了作者的一些观点，为本文的另一个重点。最后，本文认为，证券仲裁法律制度对于构建我国证券争议解决机制具有重要的作用，其独特的意义和价值值得注意，我国应该下大力来开展相关研究和实践工作。更多还原

【Abstract】 As China has joined WTO, the securities industry has assumed greater importance and attracted wider attention. However, the sustainable development of that industry has met certain worrying problems, of which the lack of an efficient and low-cost dispute resolution mechanism is a great impediment. Hereby, this paper, on a multiple basis and from different angles, aims to draw relevant experience from U.S in order to discuss how to erect and improve on the securities arbitration mechanism in China. This paper is composed of four chapters. The first chapter tries to describe the general background of securities disputes in China, pointing out that the lack of an efficient and low-cost dispute resolution mechanism has become a great hindrance. This problem finds expression in two respects: the first is the lack of effective judicial remedies, and the second is the lack of alternative dispute resolution means.The second chapter focuses on the major issues of securities arbitration and underlying reasons thereof, discussing this issue from both historical and current angles.The third chapter mainly discusses the merits of securities arbitration and significance hereof. This chapter is divided into three sections, exploring into the attributes of securities disputes and of arbitration and into the merits and significance of applying arbitration to securities disputes. The third section is especially important. The fourth chapter mainly puts forward certain proposals regarding securities arbitration in China. This chapter is also divided into three sections. The first section briefly describes the operation of securities arbitration in U.S. and its significance for China. The second section mainly puts forward certain proposal as to how to erect and improve on the securities arbitration mechanism in China on a macro basis. The third section goes further to explore 14 particular issues of securities arbitration rules. This section is also important.Last, this paper concludes that securities arbitration can contribute greatly to the securities dispute resolution mechanism and demands particular attention and effort. China should make great pains to do research and make effort to make this mechanism work.更多还原