| 美国证券执法中的行政法官制度 |
| |
| 引用本文： | 郭雳.美国证券执法中的行政法官制度[J].行政法学研究,2008(4):116-122. |
| |
| 作者姓名： | 郭雳 |
| |
| 作者单位： | 北京大学,北京,100871;美国康奈尔大学 |
| |
| 基金项目： | 中国证监会《行政体制改革框架下的金融执法体制创新》与教育部《金融市场全球化下的中国金融监管体系研究》(07TJZD0010)课题成果之一 |
| |
| 摘 要： | 现代资本市场对证券执法提出了统一性、专业性、独立性、高效性、权威性的要求。美国依托自身实践,发展完善了SEC行政法官制度,在发挥其专业、高效等突出优点的同时,秉承制衡、救济的宪政司法基本原则,从人事任免、职权范围、程序安排、司法审查等方面加以规范约束,确保其独立性和公正性。
|
| 关 键 词： | 行政法官 证券执法 司法审查 美国证监会 |
Administrative Law Judges in the US SEC Securities Enforcement |
| |
| GUO Li.Administrative Law Judges in the US SEC Securities Enforcement[J].Administrative Law Review,2008(4):116-122. |
| |
| Authors: | GUO Li |
| |
| Institution: | GUO Li(Law School of Peking University,Cornell Law School,Beijing,100871) |
| |
| Abstract: | Modern capital market demands a unified and independent securities enforcement framework with high degrees of efficiency and authority.The US has developed the sound institution of SEC administrative law judges and stricken a balance amongst the aforesaid pursuits.While effective and responsive,the independence and justice have not been compromised substantially,thanks to various check-and-balances from appointment,scope of authorities,to procedures and judicial review. |
| |
| Keywords: | Administrative Law Judge Securities Enforcement Judicial Review SEC |
| 本文献已被 CNKI 维普 万方数据 等数据库收录！ |
|
