Construction of Administrative Law Enforcement Case Guidance System in Securities Field-Taking 140 Typical Illegal Cases Investigated by the CSRC as Analysis Samples
Under the background of promoting the guidance system of administrative law enforcement cases,in order to make up for the lack of guidance cases in the field of securities,typical securities cases should emulate the elements of administrative law enforcement guidance cases,highlight flexibility and timeliness,meet the needs of the capital market and the law of regulatory law enforcement.Thereby,they can serve a"quasi-guidance"role in the professional field.Through the analysis of 140 typical illegal cases of securities supervision and inspection,it shows that there are some problems in the form of the typical cases,such as non-uniform release way and format,unbalanced distribution and imprecise writing.In essence,it is not in line with the regulatory reform for accurate law enforcement,execution convergence and"deterrence-cooperation"law enforcement model,and it is difficult to play the case guidance function.Therefore,we should find out the special positioning of cases at different levels,give play to the functional advantages of different regulatory bodies,and build a three-level securities law enforcement case guidance system composed of"guidance cases issued by the CSRC-typical cases issued by the CSRC-typical cases issued by local securities regulatory bureaus".
Administrative Law Enforcement Case Guidance SystemSecurities RegulationGuide CaseTypical Case
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