【作者】 张凡；

【导师】 曾洋；

【作者基本信息】 南京大学 ， 法律（专业学位）， 2014， 硕士

【摘要】 群体诉讼是西方国家社会发展进入后现代阶段的产物,主要是大规模商品生产、销售与服务过程中产生的小额多数分散利益纠纷与司法机能限度之间矛盾的产物。其制度设计从基本结构和目标、功能各方面都超越了一对一的传统的诉讼结构。证券群体诉讼,是在解决证券市场领域群体纠纷案件中的具体适用。目前,证券群体诉讼的具体形式在各个国家都有其特殊的表现形式,一般来说在世界范围内具有代表性的的群体诉讼制度包括：以日本为代表的选定当事人诉讼制度；以德国为代表的团体诉讼制度；以美国为代表的集团诉讼制度以及我国《中华人民共和国民事诉讼法》规定的诉讼代表人制度等。本文分为四个部分,基本内容如下：第一章是对我国证券市场群体诉讼的概述,主要介绍了我国证券市场侵权现状以及我国证券民事诉讼的立法和司法现状。在该章中笔者首先界定了群体诉讼和证券群体诉讼的概念,在此基础上得出并列举出世界范围内具有代表性的证券群体诉讼制度。同时通过对我国相关立法和司法实践的考察分析,指出目前我国证券群体诉讼在立法和司法实践中存在的一些问题和不足。第二章主要探讨了如下两个问题。一是对域外具有代表性的证券群体是诉讼制度的考察和分析。主要介绍了日本选定当事人、德国团体诉讼和美国证券集团诉讼的有关概念特征和构成要件等。二是我国学者对完善我国证券群体诉讼制度的几种观点。在列举了我国学者的几种观点后,笔者又在结合本文第二章对域外法进行考察分析的基础上对我国学者的几种观点进行了评析。得出,在我国代表人诉讼存在上述学者所述的根本缺陷以及第一章中所述的存在立法缺陷和司法实践不足的情况下,应积极借鉴或引入具备群体诉讼本应具有的价值和功能并符合我国国情和现实需要的制度的结论。因此,我国证券群体诉讼制度今后改革方向的设定应以群体诉讼的功能和其所应具有的价值导向为根本,以建立符合我国国情和证券市场发展情况的相应规制机制为基础。同时,也要评估某种制度的引入可能带来的一些负面和不良效果,并应合理预计能否建立相应的制约机制去防止此类负面效果的产生。第三章主要探讨引入美国证券集团诉讼的价值(功能)以及障碍分析。在功能和价值导向下对美国证券集团诉讼所具有的功能和价值进行了分析。同时也对引入证券集团诉讼可能存在的障碍进行分析得出,这些障碍在我国体现的并不明显或者说即使存在也可以通过制定相应制约机制进行克服。再结合当下我国证券市场情况,笔者认为引进证券集团诉讼已刻不容缓。第四章,一是主要对引入美国证券集团诉讼的态度、指导思想和路径进行了阐述。在态度上笔者认为,应该在坚持引入美国证券集团诉讼大方向的基础下,同时参照其他各国引入美国证券集团诉讼的经验,再加以结合我国的具体国情,设计出一套具有中国特色的证券集团诉讼方案。在指导思想上应进一步纠正我国证券市场重融资功能的偏见,切实加强和重视中小投资者保护。同时,在设计我国证券集团诉讼制度时应将相关的制度明确化、具体化,使其具有操作性。在具体的引入路径上指出应分两步走的策略。二是引入美国证券集团诉讼的具体方案设计。主要内容包括：1、修改《民事诉讼法》并制定《证券集团诉讼法》；2、明确确立“选择退出”规则；3、防止“滥诉”的制度设计；4、对其他集团成员的权利保障。更多还原

【Abstract】 Group litigation is the product of western country when entering into postmodern phase, which is mainly the product of contradiction between the most small scattered interest disputes and judicial function limit resulting from the processing of mass commodity production and sales and service. Its system design is beyond the one-on-one traditional litigation structure from the basic structure, design target, and function. Securities group litigation is specific application in settling group disputes in the field of securities markets. At present, each country has its special form for securities group litigation. In general, worldwide representative group lawsuit system includes:Japanese system of selected party; German system of team legal action; American securities class action and Chinese litigation representative system regulated by "civil procedure law of the People’s Republic of China".This article is divided into four parts; the basic content is as follows:The first chapter is an overview of group litigation of our country securities market, mainly introducing the status quo and infringement of the securities market and in legislation and judicial situation of securities civil litigation. Firstly, the author will define the concept of group litigation and securities group litigation and get a conclusion in worldwide representative securities group lawsuit system based on it. At the same time based on the investigation and analysis of relevant legislation and judicial practice in our country, points out the problems and deficiencies existing in our country securities group action on the legislation and judicial practice at present.The second chapter is investigation and analysis of representative lawsuit system for outside securities group. It mainly introduces the concept and constitutive requirements of Japanese system of selected party, German system of team legal action and American system of securities class action.The third chapter focuses on the following two issues.One is about the securities group litigation system from Chinese scholars’ perspectives. After introducing scholars’views, on the basis of studying foreign laws in Chapter Two, the author analyses their views. In conclusion, there are some fundamental flaws in the representative litigation of our country from the above scholars. Meanwhile, in the case of legislative shortcomings and deficiencies of the judicial practice, we should actively learn and introduce the system, which has the values and functions of group litigation. Additionally, this system must comply with China’s present condition and practical needs. Therefore, the reform direction of China’s securities group litigation should be set to suit the function of it and it should be oriented towards its value to establish corresponding regulation mechanism complaining with China’s national conditions and securities market development foundation. At the same time, it must evaluate some negative and adverse effects brought by the introduction of a system, and whether it can be reasonably expected to establish appropriate control mechanism to regulate produce such negative effects.The second is the introduction of the value of the securities class action (function) and obstacles analysis, which analyses the function and value of American securities class action under the guidance of function and value. Also, it will draw a conclusion that these obstacles is not obvious in our country or even be overcome by setting the corresponding restriction mechanism through the introduction of possible obstacles in securities class action. And then think that the introduction of securities class action is imperative by combining the present situation of securities market in China.The fourth chapter, on the one hand, it is mainly introduce American securities class action attitude, guiding ideology and the path. As for as the attitude, the author deem that it could design a set of securities class action plan with Chinese characteristics which bases on the introduction of the general direction of the securities class action and refers to the experience of other countries in introducing of American securities class action by combing with China’s specific national conditions. On the guiding ideology, it should be further correct prejudices in our country securities market financing function and strengthen and attach great importance to the protection for small and medium-sized investors. At the same time, it should be explicit and specific when designing securities class lawsuit system in our country which makes it operational. It should be two-step strategy in the introduction of the specific path. On the other hand, it is the specific design for the introduction of the securities class action. First, amend the civil procedure law and formulate the securities class litigation law; second, establish the "opt-out" rule; third, prevent "rampant litigation" system designing; fourth, other group members’ rights guarantee.更多还原