I. Work objectives
1. Establish and improve an organically coordinated, efficient and convenient diversified settlement mechanism for securities and futures disputes, protect the legitimate rights and interests of investors according to law, maintain an open, fair and just capital market order, and promote the harmonious and healthy development of the capital market.
Second, the working principle
1. Principle of justice according to law. Fully respect investors' right to choose procedures and strictly abide by legal procedures. Mediation shall not violate the basic principles of the law, and shall not harm the national interests, social public interests and the legitimate rights and interests of the third party.
2. The principle of flexibility and convenience. Focus on the actual situation of the dispute, flexibly determine the way, time and place of dispute settlement, make it as convenient as possible for investors and reduce the cost of dispute settlement by the parties. Mediation work should be clear about the time limit for handling, improve work efficiency, and should not be delayed for a long time.
3. Pay attention to the principle of prevention. Give play to the conflict prevention and source management functions of mediation, and promote the spread of healthy investment culture, investment ideas and investment knowledge. People's courts, securities and futures regulatory agencies and mediation organizations should strengthen information sharing to prevent the accumulation and intensification of contradictions and disputes.
Third, the work content
(A) to strengthen the management of mediation organizations
1. Strengthen the construction of securities and futures intermediary organizations. Securities and futures mediation organizations refer to mediation organizations established or actually managed by securities and futures regulatory agencies and trade organizations, which should have standardized organizational forms, fixed office space and mediation places, professional mediators and a sound mediation system. The China Securities Regulatory Commission is responsible for the identification and management of securities and futures mediation organizations, which will be published after regular consultation with the Supreme People's Court.
2. Standardize the internal management of mediation organizations. Mediation organizations shall formulate work systems and process management, and establish a scientific assessment system and accountability system.
3. Strengthen the construction of mediators. Mediation organizations should strengthen the political and ideological construction of mediators, professional ethics and professional skills training, improve the basic requirements for the employment of mediators, formulate work guidelines for mediators, and establish and improve the system of full-time or expert mediators.
4. Mediation organizations accept applications for dispute mediation from small and medium investors free of charge.
5. Establish a special mediation organization and a special mediator system for securities and futures disputes. People's courts at all levels shall include mediation organizations and mediators in the roster, update and maintain them dynamically, and provide complete and accurate information on mediation organizations and mediators to the parties to securities and futures disputes for the parties to choose voluntarily.
(2) Improve the working mechanism of litigation mediation.
1. Scope of application of diversified settlement mechanism for securities and futures disputes. Contract disputes and tort liability disputes between natural persons, legal persons and unincorporated organizations arising from capital market investment businesses such as securities, futures and funds all fall within the scope of mediation. Non-litigation mediation and advance payment by securities and futures regulatory agencies and mediation organizations can be linked with judicial proceedings.
2. Judicial confirmation system of mediation agreement. Under the auspices of the mediation organization, the mediation agreement reached through mediation has the nature of a civil contract. After the mediator and mediation organization sign and seal, the parties may apply to the people's court with jurisdiction to confirm their effectiveness. A case in which a party applies for confirmation of a mediation agreement shall be executed in accordance with Section 6 of Chapter 15 of the Civil Procedure Law of People's Republic of China (PRC) and relevant judicial interpretations.
If one party refuses to perform an effective mediation agreement confirmed by the people's court with clear payment subject and content, the other party may apply to the people's court for compulsory execution.
3. Implement designated mediation or entrusted mediation mechanism. In the process of accepting and hearing securities and futures disputes, the people's court shall fully exercise its power of interpretation according to law, and guide the parties to resolve disputes through mediation organizations by means of agreement before filing, entrustment after filing, invitation in litigation, etc. with the consent of both parties.
If the parties apply for judicial confirmation after mediation is designated by the people's court and a mediation agreement is reached, it shall be accepted by the people's court designated for mediation according to law.
4. Establish a model judgment mechanism. In the process of clearing and handling large-scale group disputes, securities and futures regulatory agencies may entrust mediation organizations to conduct centralized mediation on matters involving the protection of investors' rights and interests. For civil compensation group disputes caused by false statements, insider trading, market manipulation and other illegal acts, if the people's court needs to declare the legal rules and unify the application of the law through judicial judgment, the appealed people's court can select a number of representative cases as demonstration cases in fact finding and legal application, try them first and make a judgment in time; Through the fact-finding and legal application standards established by the demonstration judgment, other parties will be guided to solve disputes through the diversified settlement mechanism of securities and futures disputes, which will reduce the cost of investors' rights protection and improve the efficiency of conflict resolution.
5. Establish a small speed adjustment mechanism. In order to better solve the capital market disputes, the operators of the securities and futures markets are encouraged to sign an agreement with the mediation organization in advance on a voluntary basis and promise to unconditionally accept the mediation suggestions put forward by the mediation organization within a certain amount. After the dispute occurs, if the mediation proposal put forward by the mediation organization is within the scope of the amount upon the application of the investor, and the investor agrees, it shall be deemed that both parties have reached a mediation agreement voluntarily, and the business entity of the securities and futures market shall accept it. If the parties apply for judicial confirmation of the mediation agreement, the people's court shall handle it according to law.
6. Explore the establishment of an uncontroversial fact recording mechanism. If the mediation procedure ends and the parties fail to reach a mediation agreement, the mediator may, after obtaining the consent of the parties, record the facts that are not disputed by both parties in the mediation process in written form, which shall be signed by the parties for confirmation. In litigation, except for national interests, social interests and the legitimate rights and interests of others, the parties do not need to prove the undisputed facts confirmed in the mediation process.
7. Explore the establishment of mediation pre-procedures. Conditional people's court shall, before filing a case, guide the parties to mediate through a specially invited mediation organization or a specially invited mediator on the basis of soliciting the wishes of the parties.
8. Make full use of online dispute resolution to carry out work. Relying on "China Investor Network" (www.investor.gov.cn), we will build an online settlement platform for securities and futures disputes, and connect with the information platform of the people's court to facilitate the online connection of litigation and mediation. Mediation institutions should make full use of modern media such as "China Investor Network", organically combine "face-to-face" with online dialogue and instant resolution, study and formulate online dispute resolution rules, and summarize and popularize remote mediation and other practices. People's courts at all levels should use modern scientific and technological means such as the Internet to explore online entrustment or appointment mediation, online judicial confirmation of mediation agreements, etc., and facilitate the parties to participate in diversified solutions by accepting relevant applications, remote examination and confirmation, fast professional service channels, electronic supervision, and electronic delivery, so as to improve the quality and efficiency of work.
(3) Strengthen diversified dispute resolution mechanisms to ensure implementation.
1. Give full play to the function of supervision procedures. A mediation agreement that meets the statutory conditions can be used as the basis for the parties to apply to the grassroots people's court with jurisdiction for a payment order.
2. The judicial scope of the dispute involved in the mediation agreement. If there is a dispute over the performance or content of the mediation agreement, the parties may bring a lawsuit to the people's court on the mediation agreement, and the people's court shall try it according to the contract. If one party brings a lawsuit to the people's court with the original dispute and the other party applies for mediation and provides a mediation agreement, the people's court shall hear the contents of the mediation agreement.
3. Increase regulatory support for diversified solutions. Where an investor applies for mediation to resolve a dispute, the business entity of the securities and futures market shall actively participate in mediation and cooperate with the people's court and the mediation organization to find out the facts. If the business entity of the securities and futures market refuses to perform the reached mediation agreement without justifiable reasons, the securities and futures supervision and administration institution shall record it in the integrity file database of the securities and futures market according to law.
4. Strengthen law enforcement linkage and severely crack down on acts that harm the legitimate rights and interests of investors. The people's courts and the securities and futures regulatory agencies shall give full play to their respective functional advantages and take timely preservation measures in accordance with the law for acts that may damage the legitimate rights and interests of investors, such as destroying evidence and transferring property. Timely investigate and deal with illegal acts found in the work; Suspected of committing a crime, it shall be transferred to relevant judicial organs for handling according to law.
5. Strengthen funding guarantee and personnel training. Securities and futures regulatory agencies, industry self-regulatory organizations, etc. We should provide necessary personnel, funds and material guarantee for establishing and perfecting the diversified settlement mechanism of securities and futures disputes, and increase the training of mediators; Conditional people's courts shall provide mediation rooms for specially invited mediation organizations and mediators to handle securities and futures disputes. Establish a multi-level joint training mechanism between people's courts and securities and futures regulatory agencies, and continuously strengthen the breadth and depth of business exchanges.
Fourth, the job requirements
1. Establish a coordination mechanism for diversified settlement of securities and futures disputes. The higher people's court and the securities and futures regulatory agency shall designate contact departments and contacts respectively to strengthen coordination on problems encountered in their work; Strengthen communication and information sharing, build a sound early warning mechanism for securities and futures disputes, and prevent the accumulation and intensification of contradictions and disputes.
2. Strengthen publicity and investor education. People's courts, securities and futures regulatory agencies, industry self-regulatory organizations, specialized institutions for investor protection, and mediation organizations shall timely summarize and publicize typical cases through various channels, and play an exemplary and educational role; Increase the publicity of diversified settlement mechanism of securities and futures disputes, enhance the understanding of diversified settlement mechanism of all parties, and guide small and medium investors to change their concepts and rationally safeguard their rights.
3. Strengthen supervision, guidance, coordination and management. The Second Court of the Supreme People's Court Civil Trial and the Investor Protection Bureau of China Securities Regulatory Commission set up a working group on diversified settlement mechanism of securities and futures disputes, which is specifically responsible for guiding and coordinating the construction of diversified settlement mechanism of securities and futures disputes. The Higher People's Court shall guide, supervise and inspect the work requirements of the people's courts within its jurisdiction to implement the diversification mechanism of securities and futures. China Securities Regulatory Commission is responsible for supervising and guiding the work of mediation organizations; Each agency is responsible for urging relevant mediation organizations within its jurisdiction to strengthen internal management and standardize operation, and guiding and supporting mediation organizations to carry out their work within its jurisdiction. The local people's courts at all levels and the securities and futures regulatory agencies shall promptly report their work and existing problems to the the Supreme People's Court and China Securities Regulatory Commissions.