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我国证券市场吹哨人保护制度完善研究

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随着证券市场违法行为的隐秘性不断增强,监管难度日益增加,吹哨人的存在则有效缓解了这一难题.但是由于吹哨人的举报行为威胁到被举报人的利益,因此吹哨人常常面临着被报复的风险,证券市场吹哨人保护制度包括吹哨人身份信息保密、反报复保护、权利救济三方面的内容,而我国在这三方面均存在不完善之处,无法为吹哨人提供足够的保护.在借鉴美国经验的基础之上,我国目前可以通过加强身份信息保密规则的制定、增加反报复保护制度、增设吹哨人权益救济制度来完善证券市场吹哨人保护制度,更好地保护吹哨人的合法权益.
Research on the Perfection of Whistleblower Protection System in China's Securities Market
With the increasing secrecy of illegal acts in the securities market and the increasing difficulty of super-vision,the existence of whistleblowers has effectively alleviated this problem.However,whistleblowers often face the risk of retaliation because their reporting acts threaten the interests of the whistleblowers.The whistleblowers protection system in the securities market includes whistleblowers'identity information confidentiality,anti-retaliation protection,and rights relief.However,China has imperfections in these three aspects,and cannot provide adequate protection for whistleblowers.Based on the experience of the United States,China can improve the whistleblower protection system in the securities market by strengthening the formulation of identity information confidentiality rules,adding the anti-retal-iation protection system,and adding the whistleblower rights and interests relief system to better protect the whistleblower's legitimate rights and interests.

Whistleblowers in the Securities MarketConfidentiality System of Identity InformationAnti-retalia-tion Pprotection SystemRights and Interests Relief System

蒋辉宇、周玮

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安徽财经大学法学院 蚌埠 233041

证券市场吹哨人 身份信息保密制度 反报复保护制度 权益救济制度

国家社会科学基金项目安徽财经大学研究生科研创新基金项目

21BFX120ACYC2022209

2024

10.19766/j.cnki.zgzqqh.2024.2.011

中国证券期货
北京喀斯特经济评介中心 北京亚布力企业发展策划有限公司

中国证券期货

ISSN：1008-0651
年,卷(期)：2024.(1)
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