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长期以来,资本市场执法力量与执法任务之间严重不匹配,案多人少问题突出。为破解这一难题,中国证监会拟委托证券交易所实施行政处罚的案件调查试点工作,这是资本市场稽查执法的一项重大制度创新。中国证监会能否作为委托主体、证券交易所能否作为受托主体、委托证券交易所执法的法律依据何在、是否可行,以及委托范围能否在总结试点工作经验之后进一步扩大?从法律层面对上述问题进行梳理分析,对于委托执法试点工作顺利开展,实现加强资本市场稽查执法力量的政策初衷,具有重要的理论和现实意义。本文拟分析委托执法的现实背景,论证非行政机关及其工作人员参与行政执法可能的模式选择,对具体实施委托执法涉及的问题进行梳理,在此基础上为下一步如何落实和完善委托执法制度提出相关建议。
For a long time, there has been a serious mismatch between the strength of law enforcement in the capital market and the task of law enforcement, with many outstanding cases and outstanding problems. In order to solve this problem, the CSRC intends to entrust the Stock Exchange to conduct pilot investigations of the case of administrative punishment. This is a major institutional innovation in the enforcement of capital market audits. Whether China Securities Regulatory Commission as a principal, whether the stock exchange as a trustee, the legal basis for commissioned by the Stock Exchange law enforcement, is feasible, and whether the scope of the commission can be further expanded after the pilot work experience? From the legal level of the above It is of great theoretical and practical significance to carry out the pilot project of entrusting law enforcement successfully and to realize the original policy of strengthening the law enforcement of capital market auditing. This article intends to analyze the reality of commissioned law enforcement background to demonstrate that non-administrative agencies and their staff may participate in the implementation of administrative law enforcement model options, the specific implementation of commissioned law enforcement issues combed on the basis of the next step how to implement and improve the commissioned law enforcement system Put forward relevant suggestions.