证券违法活动检举人的激励与保护机制——美国的相关实践及启示被引量：24

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摘要拥有证券违法活动原生信息的个人向监管部门举报,是发现和制止不法行为、加强公私协同提高执法绩效的重要途径。美国的证券违法活动检举人相关制度源于奎潭规则、《虚诈(检举)给付请求法》、《检举人保护法》等,并以《多德-弗兰克法案》为契机,通过证券交易委员会、商品与期货交易委员会的执行规则集中呈现。以"比例加幅度调节"为核心的弹性奖励安排较好地平衡了各类诉求,既保持了适度激励,同时又与内部举报、私人诉讼等实现了制度衔接。我国现行的证券检举人规范较为粗简,存在激励与保护功能的双重不足,需要进一步研究和完善。

作者郭雳

机构地区北京大学法学院

出处《江汉论坛》 CSSCI 北大核心 2016年第4期129-135,共7页

关键词证券违法检举内部举报原生信息罚没分成金融监管

分类号 D922.287 [政治法律—经济法学]

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参考文献20

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