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全链条“设防” 资本市场“大投保”格局初现

2017-09-08 08:21:56   新华网

从市场基础法律制度到侵权民事赔偿诉讼,从纠纷多元化解机制到公益机构支持诉讼,从先行赔付的推广到诉讼示范判决的探索……监管层紧扣投资者需求,围绕知情权、参与权、收益权、求偿权等各项基本权利,在制度建设、日常监管中全面落实投资者保护要求,贯穿证券市场从发行到退市的生命周期,实现了投资者保护全链条“设防”,资本市场“大投保”格局初现。

展望未来,证券期货基础法律制度、证券欺诈民事赔偿诉讼制度等将进一步完善,一系列保护投资者的创新探索与尝试将逐步推进,资本市场投保将步入新阶段。

加强顶层设计夯实投保制度基础

证监会主席刘士余多次强调,“投资者保护重如泰山”、“保护中小投资者合法权益是天大的事”。“我国股市约有1亿散户,直接关乎上亿家庭、数亿人的利益,保护好投资者尤其是中小投资者的合法权益,是资本市场监管工作人民性的具体体现,也是服务实体经济的应有之义。”他说。

业内人士普遍认为,监管部门在投资者保护方面做了坚持不懈的努力,尤其是在重要制度建设中全面嵌入投资者保护要求,形成了包括证券法、公司法、证券投资基金法、刑法及大量行政法规和规章在内的法律体系,(下转A02版)

全面构建了保护中小投资者合法权益的政策体系。

具体来看,在股票发行改革、退市、并购重组、公司债券、新三板等制度建设中全面嵌入投资者保护要求。例如在《关于进一步推进新股发行体制改革的意见》、《首次公开发行股票并在创业板上市管理办法》等发行制度改革中强化市场经营主体责任;在《关于改革完善并严格实施上市公司退市制度的若干意见》等上市公司退市制度中强化投资者保护安排;在上市公司章程指引、股东大会规则、《关于首发及再融资、重大资产重组摊薄即期回报有关事项的指导意见》等部门规章和自律规则中持续完善上市公司治理规则体系和回报机制等。在《区域性股权市场监督管理试行办法》、日前公开征求意见的《私募投资基金管理暂行条例》、沪深交易所分级基金业务管理指引等制度规则中全面落实投资者适当性管理要求。

值得期待的是,正在推进中的《证券法》修订将强化投资者保护要求,增设投资者保护专章:增加规范现金分红、投资者适当性管理、投资者利益损失补偿、法律救济渠道等方面规定;增加信息披露的内容、明确信息披露的方式,强调信息披露应当真实、准确、完整,简明清晰、通俗易懂;规范上市公司停复牌行为,防止上市公司滥用停牌、复牌损害投资者权益;增加证监会投资者教育、处置系统性风险的职责等。

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