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Notice by the Supreme People's Court and the China Securities Regulatory Commission of Issuing Opinions on Comprehensively Advancing Establishment of Diversified Resolution Mechanism of Securities and Futures Disputes [Effective]
最高人民法院、中国证券监督管理委员会印发《关于全面推进证券期货纠纷多元化解机制建设的意见》的通知 [现行有效]
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Notice by the Supreme People's Court and the China Securities Regulatory Commission of Issuing Opinions on Comprehensively Advancing Establishment of Diversified Resolution Mechanism of Securities and Futures Disputes 

最高人民法院、中国证券监督管理委员会印发《关于全面推进证券期货纠纷多元化解机制建设的意见》的通知

(No. 305 [2018] of the Supreme People's Court) (法〔2018〕305号)

The higher people's courts of all provinces, autonomous regions and municipalities directly under the Central Government; the Production and Construction Corps Branch of the Higher People's Court of Xinjiang Uygur Autonomous Region; and all the dispatched offices of the China Securities Regulatory Commission (“CSRC”), all exchanges, all entities subordinate to the CSRC, and all associations: 各省、自治区、直辖市高级人民法院,新疆维吾尔自治区高级人民法院生产建设兵团分院;中国证监会各派出机构、各交易所、各下属单位、各协会:
The Opinions of the Supreme People's Court and the China Securities Regulatory Commission on Comprehensively Advancing Establishment of Diversified Resolution Mechanism of Securities and Futures Disputes are hereby issued to you for your conscientious implementation. 现将《最高人民法院、中国证券监督管理委员会关于全面推进证券期货纠纷多元化解机制建设的意见》印发给你们,请认真贯彻执行。
Supreme People's Court 最高人民法院
China Securities Regulatory Commission 中国证券监督管理委员会
November 13, 2018 2018年11月13日
Opinions of the Supreme People's Court and the China Securities Regulatory Commission on Comprehensively Advancing Establishment of Diversified Resolution Mechanism of Securities and Futures Disputes 最高人民法院、中国证券监督管理委员会关于全面推进证券期货纠纷多元化解机制建设的意见
Establishing a diversified resolution mechanism of securities and futures disputes is an important measure to facilitate the appeal and remedy channels for investors, consolidate the fundamental regimes for the capital market and protect the lawful rights and interests of investors. Since the Supreme People's Court and the China Securities Regulatory Commission (“CSRC”) jointly issued the Notice of the Supreme People's Court and the China Securities Regulatory Commission on Conducting the Pilot program of the Diversified Resolution Mechanism for Disputes over Securities and Futures in Some Regions in China (No. 149 [2016], SPC) in 2016, the people's courts and securities and futures regulatory authorities in regions under the pilot program and mediation organizations under the same have strengthened coordination and joint operation, maximized the role of the diversified dispute resolution mechanism, resolved securities and futures disputes in a lawful, impartial and efficient manner, effectively protected the lawful rights and interests of investors, and made positive achievements in the pilot program. For the purposes of implementing the Opinions of the General Office of the CPC Central Committee and the General Office of the State Council on Improving the Diversified Resolution Mechanism of Conflicts and Disputes, the Opinions of the General Office of the State Council on Further Strengthening the Work of Protection of the Legitimate Rights and Interests of Minority Investors in the Capital Markets and the Opinions of the Supreme People's Court on People's Courts Further Deepening the Reform of Diversified Dispute Resolution Mechanism, the Supreme People's Court and the CSRC, on the basis of summarizing the experience in the pilot program, decided to jointly launch the establishment of a diversified resolution mechanism of securities and futures disputes across the country. The following opinions are hereby offered on the relevant matters: 建设证券期货纠纷多元化解机制,是畅通投资者诉求表达和权利救济渠道、夯实资本市场基础制度和保护投资者合法权益的重要举措。自2016年最高人民法院和中国证券监督管理委员会联合下发《关于在全国部分地区开展证券期货纠纷多元化解机制试点工作的通知》(法〔2016〕149号)以来,试点地区人民法院与证券期货监管机构、试点调解组织加强协调联动,充分发挥纠纷多元化解机制作用,依法、公正、高效化解证券期货纠纷,有效保护投资者的合法权益,试点工作取得积极成效。为贯彻《中共中央办公厅国务院办公厅关于完善矛盾纠纷多元化解机制的意见》《国务院办公厅关于进一步加强资本市场中小投资者合法权益保护工作的意见》和《最高人民法院关于人民法院进一步深化多元化纠纷解决机制改革的意见》,最高人民法院和中国证券监督管理委员会在总结试点工作经验的基础上,决定在全国联合开展证券期货纠纷多元化解机制建设工作。现就有关事项提出如下意见:
I. Work objectives 一、工作目标
1. Establishing and improving a diversified resolution mechanism of securities and futures disputes, which is of organic connection, coordination and joint operation, and efficiency and facilitation, protecting the lawful rights and interests of investors in accordance with the law, maintaining an open, fair and equitable order of the capital market, and promoting the harmonious and sound development of the capital market. 1.建立、健全有机衔接、协调联动、高效便民的证券期货纠纷多元化解机制,依法保护投资者的合法权益,维护公开、公平、公正的资本市场秩序,促进资本市场的和谐健康发展。
II. Work principles 二、工作原则
2. Principles of lawfulness and equity. The procedural options of investors shall be fully respected, and legal procedures shall be strictly observed. Mediation work shall be conducted in no contravention of the basic principles of the law, to no detriment of national interests, public interests or the lawful rights and interests of a third party. 2.依法公正原则。充分尊重投资者的程序选择权,严格遵守法定程序。调解工作的开展不得违反法律的基本原则,不得损害国家利益、社会公共利益和第三人合法权益。
3. Principles of flexibility and facilitation. Based on the actual circumstances of disputes, the manner, time and place for dispute resolution shall be flexibly determined, so as to facilitate investors as much as possible and reduce the cost for parties to resolve disputes. For mediation work, the time limit shall be specified to improve work efficiency and prevent long pending mediation. 3.灵活便民原则。着眼于纠纷的实际情况,灵活确定纠纷化解的方式、时间和地点,尽可能方便投资者,降低当事人解决纠纷的成本。调解工作应当明确办理时限,提高工作效率,不得久调不决。
4. Principle of valuing prevention. The function of mediation to prevent conflicts and exercise governance at the root shall be exploited, and the dissemination of sound investment culture, concepts and knowledge shall be promoted. People's courts, securities and futures regulatory authorities and mediation organizations shall strengthen information sharing and prevent the accumulation and escalation of conflicts and disputes. 4.注重预防原则。发挥调解的矛盾预防和源头治理功能,推动健康投资文化、投资理念、投资知识的传播。人民法院、证券期货监管机构及调解组织要加强信息共享,防止矛盾纠纷积累、激化。
III. Contents of work 三、工作内容
(1) Strengthening administration of mediation organizations (一)加强调解组织管理
5. Strengthening establishment of securities and futures mediation organizations. “Securities and futures mediation organization” means a mediation institution established or actually managed by the securities and futures regulatory authority, industry organization or otherwise, which shall have a well-regulated organizational structure, perpetual business premises and mediation venue, professional mediators, and sound rules of mediation work. The CSRC shall be responsible for the determination and administration of securities and futures mediation organizations and reveal such organizations regularly in consultation with the Supreme People's Court. 5.加强证券期货调解组织建设。证券期货调解组织是指由证券期货监管机构、行业组织等设立或实际管理的调解机构,应当具有规范的组织形式、固定的办公场所及调解场地、专业的调解人员和健全的调解工作制度。中国证券监督管理委员会负责证券期货调解组织的认定和管理工作,定期商最高人民法院后公布。
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