暨南学报(哲学社会科学版)

作者：袁淼英

单位：北京航空航天大学法学院博士生。

关键词：中小投资者,信息披露,先行赔付,权利救济

我国证券市场的中小投资者具有专业知识薄弱、资金数量有限、信息控制能力较弱等特点,在证券交易时多处于弱势地位,其合法权益遭受侵害的现象屡见不鲜。根据代理、弱者倾斜保护、信息不对称等理论,法律确有必要对中小投资者进行一定程度的特别保护。然而,我国证券市场中小投资者权益的保护制度尚不完善,应向经验更为丰富的英美国家学习借鉴,从信息披露、先行赔付、权利救济三个方面进行法律制度构建,以确保中小投资者权益的充分救济,维持证券市场的稳定发展。"/>template{display:none;}.mag-rich-xref-fn { cursor: pointer;}//长视频$(document).ready(function(){if($("#showLongArticleVideo") && $("#showLongArticleVideo").length && $("#showLongArticleVideo").length>0){mag_ajax_update({ele_id:'showLongArticleVideo',url:mag_currentQikanUrl() + "/CN/article/showLongArticleVideo.do?id="+$("#articleId").val()});}});$(document).ready(function(){window.metaData = {"journal":{"issn":"1000-5072","qiKanMingCheng_CN":"暨南学报（哲学社会科学版）","id":2,"qiKanMingCheng_EN":"Jinan Journal"},"article":{"keywordList_cn":["权利救济","先行赔付","信息披露","中小投资者"],"juan":"40","zhaiyao_cn":"我国证券市场的中小投资者具有专业知识薄弱、资金数量有限、信息控制能力较弱等特点,在证券交易时多处于弱势地位,其合法权益遭受侵害的现象屡见不鲜。根据代理、弱者倾斜保护、信息不对称等理论,法律确有必要对中小投资者进行一定程度的特别保护。然而,我国证券市场中小投资者权益的保护制度尚不完善,应向经验更为丰富的英美国家学习借鉴,从信息披露、先行赔付、权利救济三个方面进行法律制度构建,以确保中小投资者权益的充分救济,维持证券市场的稳定发展。","endNoteUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/article/getTxtFile.do?fileType=EndNote&id=6177","reference":"","bibtexUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/article/getTxtFile.do?fileType=BibTeX&id=6177","abstractUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/Y2018/V40/I11/57","qi":"11","id":6177,"nian":2018,"bianHao":"2018-11-57","zuoZheEn_L":"YUAN Miaoying","juanUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/Y2018","shouCiFaBuRiQi":"2018-11-08","qiShiYe":"57","qiUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/Y2018/V40/I11","lanMu_cn":"法学","pdfSize":"694","zuoZhe_CN":"袁淼英","risUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/article/getTxtFile.do?fileType=Ris&id=6177","title_cn":"证券中小投资者权益保护制度的构建路径","jieShuYe":"66","keywordList_en":["compensation in advance","information disclosure","minority investors","remedies of rights"],"endNoteUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/article/getTxtFile.do?fileType=EndNote&id=6177","zhaiyao_en":"With the characteristics of less special knowledge, limited funds and weaker ability to acquire information, minority investors in China's securities market are usually in weaker positions when engaged in security transactions. Therefore, although it is prohibited from damaging minority investors' rights and interests, the phenomenon can be seen frequently. According to the agency theory, tilt protection theory and information asymmetry theory, it is necessary to provide minority investors special protection in certain degree. However, the measures to protect rights and interests of minority investors in China's securities market still need to be improved. It should learn from a wider range of experience in Anglo-American countries, such as the three aspects including the angles of information disclosure, compensation in advance, and remedies of rights to construct the legal system. By so doing, the minority investors' rights and interests can be fully remedied, and the steady development of China's securities market maintained.","bibtexUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/article/getTxtFile.do?fileType=BibTeX&id=6177","abstractUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/Y2018/V40/I11/57","zuoZheCn_L":"袁淼英","juanUrl_cn":"https://jnxb.jnu.edu.cn/skb/CN/Y2018","lanMu_en":"","qiUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/Y2018/V40/I11","zuoZhe_EN":"YUAN Miaoying","risUrl_en":"https://jnxb.jnu.edu.cn/skb/EN/article/getTxtFile.do?fileType=Ris&id=6177","title_en":"The Construction of Rights Protection System for Minority Investors in Securities","hasPdf":"true"},"authorNotes_cn":["袁淼英,北京航空航天大学法学院博士生。"]};if(window.metaData && (!window.metaData.authorNotesCommon_cn && !window.metaData.authorNotesCorresp_cn && window.metaData.authorNotes_cn)){window.metaData.authorNotesCommon_cn = window.metaData.authorNotes_cn;}if(window.metaData && (!window.metaData.authorNotesCommon_en && !window.metaData.authorNotesCorresp_en && window.metaData.authorNotes_en)){window.metaData.authorNotesCommon_en = window.metaData.authorNotes_en;}var _nlmdtdXml = $("#article_nlmdtdXml").val();var magDir = _nlmdtdXml.replace(/\/[^\/]+$/,'');window.metaData.magDir = magDir;new mag_vue({ el: '#metaVue', //dataUrl: mag_currentQikanUrl() + '/EN/article/getRichHtmlJson.do?articleId='+$("#articleId").val(), data:window.metaData, loading:true, doTextFun:function(text){ return doDataJsonText(text); 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来源：2018年第11期

《暨南学报(哲学社会科学版)》期刊编辑部

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