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金融法视阈下的行政执法和解制度探析

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《中华人民共和国金融稳定法(草案)》规定了行政执法当事人承诺制度,正在为金融领域行政执法和解制度的构建提供法律依据.与此同时,虽然行政和解暂未形成理论共识,但金融法视阈下行政执法和解的实践已然先行于理论.针对金融风险处置和证券期货领域中的金融纠纷,行政机关在符合依法行政的要求下通过行使自由裁量权,借助协商民主、公众参与等私法化手段采取的行政执法和解措施,可有效化解纠纷且实现各方获益的经济及社会效果.通过对金融领域行政执法和解措施的实践检视,提出以各方均可获益作为启动行政执法和解制度的前提,通过举证责任的倾斜、"自认"的可适用性与行刑衔接的合规机制相结合,将有助于构建更加符合实践理性的行政执法和解制度.
An Analysis of the Administrative Law Enforcement Reconciliation System in the Context of Financial Law
The draft Financial Stability Law of the People's Republic of China stipulates the party commitment system for administrative law enforcement, providing a legal basis for the construction of the administrative law enforcement reconciliation system in the financial domain. Meanwhile, although there has been no theoretical consensus on administrative reconciliation, the practical implementation of administrative law enforcement reconciliation in the context of financial law has already preceded theoretical development. Against financial risk disposals and financial disputes in the field of securities and futures, measures of administrative law enforcement reconciliation by means of discretionary powers and private legal means such as deliberative democracy and public participation employed by administrative authorities, in compliance with the requirements of law-based administration, can effectively resolves disputes and achieves economic and social benefits for all parties involved. Through a scrutiny of the practical aspects of measures of administrative law enforcement reconciliation in the financial domain, this article proposes that the benefit of all parties as the premise of initiating the administrative law enforcement reconciliation system and the combination of a tilted burden of proof, the applicability of the"self-admission"principle, and a compliance mechanism for the connection between administrative law enforcement and criminal justice will contribute to constructing an administrative law enforcement reconciliation system that aligns more closely with practical rationality.

financial stability lawadministrative law enforcementadministrative law enforcement reconciliationfinancial riskfinancial dispute

李晓安、钟燕华

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首都经济贸易大学法学院,北京100070

金融稳定法 行政执法 行政执法和解 金融风险 金融纠纷

2024

北京行政学院学报
北京行政学院

北京行政学院学报

CSTPCDCSSCICHSSCD北大核心
影响因子:0.662
ISSN:1008-7621
年,卷(期):2024.(2)
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