行政过程理论视域内的“冷淡对待”证券市场中介机构措施

“Cold Shoulder” Measures to Security Market Intermediaries from the Perspectives of Administrative Process Theory

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归属学者：

刘志伟

归属院系：

经济法学院（生态法学院）

作者：

刘志伟1

摘要：

证券市场中介机构被立案调查期间,监管部门对其所采取的暂不受理其新业务、中止受理已在审业务的"冷淡对待"措施具有预防性、临时性,已然超越了典型行政行为所能涵盖的范围,并严重限制了此类措施的规范适用。须考察其设置初衷、价值选择及其所涉利益关系。更重要的是,要结合"冷淡对待"措施法律效果前置的特征,证明典型行政行为理论对其解释的孱弱,而行政过程理论恰好可为其法律内在规定性的辨明提供助益。为防止"冷淡对待"措施被滥用,其适用限度须从主体、过程和后果等层面予以把握,而规范适用则须借助行政裁量、行政过程理论以及以此为基础建立的具体控权规则的优化。

出版日期：

2021-05-15

学科：

经济法学

提交日期：

2021-06-01

引用参考：

刘志伟. 行政过程理论视域内的“冷淡对待”证券市场中介机构措施[J]. 财经法学,2021(03):127-143.

全文附件授权许可：

知识共享许可协议-署名

  • dc.title
  • 行政过程理论视域内的“冷淡对待”证券市场中介机构措施
  • dc.contributor.author
  • 刘志伟
  • dc.contributor.author
  • Liu Zhiwei
  • dc.contributor.affiliation
  • 西南政法大学经济法学院
  • dc.publisher
  • 财经法学
  • dc.publisher
  • Law and Economy
  • dc.identifier.year
  • 2021
  • dc.identifier.issue
  • 03
  • dc.identifier.volume
  • No.39
  • dc.identifier.page
  • 127-143
  • dc.date.issued
  • 2021-05-15
  • dc.subject
  • 证券市场中介机构;证券服务机构;立案调查;业务限制;冷淡对待
  • dc.subject
  • security market intermediaries;securities services institution;cases fillings and investigations;restrictions on business;cold shoulder
  • dc.description.abstract
  • 证券市场中介机构被立案调查期间,监管部门对其所采取的暂不受理其新业务、中止受理已在审业务的"冷淡对待"措施具有预防性、临时性,已然超越了典型行政行为所能涵盖的范围,并严重限制了此类措施的规范适用。须考察其设置初衷、价值选择及其所涉利益关系。更重要的是,要结合"冷淡对待"措施法律效果前置的特征,证明典型行政行为理论对其解释的孱弱,而行政过程理论恰好可为其法律内在规定性的辨明提供助益。为防止"冷淡对待"措施被滥用,其适用限度须从主体、过程和后果等层面予以把握,而规范适用则须借助行政裁量、行政过程理论以及以此为基础建立的具体控权规则的优化。
  • dc.description.abstract
  • During the time when the cases of security market intermediaries are filled and investigated, the preventive and temporary "cold shoulder" measures taken by the regulatory authorities thereto have gone beyond the scope of typical administrative actions, and severely restricted the standardized application of such measures in securities supervision and enforcement.To effectively control the "cold shoulder" measures, we must examine original intention hereof, choice of value thereof and the relationship of interests involved.More importantly, shall we combine with the predisposition of legal effect, which is the characteristic of cold shoulder measures, to prove the weakness of the interpretation of the administrative behaviour theory thereto.The theory of administrative process can provide assistance for the identification of inherent legal provisions thereof.In order to prevent the "cold shoulder" measures from being abused, its applicable limit should be grasped from the aspects of subject, process and consequence, and the standardized application should be realized by the optimization of administrative discretion, administrative process theory and the specific rules of restrictions on power established hereon.
  • dc.identifier.CN
  • 10-1281/D
  • dc.identifier.issn
  • 2095-9206
  • dc.identifier.if
  • 0.992
  • dc.subject.discipline
  • D922.287
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