| 美国证券法域外管辖的最新发展及其启示 |
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| 引用本文： | 彭岳.美国证券法域外管辖的最新发展及其启示[J].现代法学,2011(6):139-147. |
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| 作者姓名： | 彭岳 |
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| 作者单位： | 南京大学法学院; |
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| 基金项目： | 教育部人文社会科学研究青年基金项目“外国公司境内上市融资监管法律制度研究——以建立国际金融中心为视角”(09YJC820052) |
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| 摘 要： | 2010年,美国联邦最高法院在Morrison案中颠覆了由第二巡回法院创立的域外适用证券法的传统,转而采用"交易标准"。此后不久,国会在《华尔街改革和消费者保护法》中又重新引入了"效果标准"和"行为标准",期望以此强化对境内投资者和资本市场的保护。为建立国际金融中心,中国应汲取美国的经验和教训,有限度地推行本国证券法的域外管辖,特别是应模糊证券法的域外管辖问题,将自主权赋予法院。同时,法院应充分考虑和尊重证监会的相关决定。
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| 关 键 词： | 域外管辖 交易标准 效果标准 行为标准 国际金融中心 |
Latest Advances in Extraterritorial Jurisdiction under US Securities Law and Their Enlightenment |
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| PENG Yue.Latest Advances in Extraterritorial Jurisdiction under US Securities Law and Their Enlightenment[J].Modern Law Science,2011(6):139-147. |
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| Authors: | PENG Yue |
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| Institution: | PENG Yue (Law School of Nanjing University,Nanjing 210093,China) |
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| Abstract: | The US Supreme Court abandoned in Morrison in 2010 the practice of extraterritorial application of securities law set up by the Second Circuit Court and adopted the transaction test. Shortly after that,the Congress reintroduced the effect test and conduct test in the Wall Street Reform and Consumer Protection Act for the purpose of strengthening protection of domestic investors and capital market.To ensure establishing its international financial center,China should draw on the experience of the U.S.A.and e... |
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| Keywords: | extraterritorial jurisdiction transaction test effect test conduct test international financial center |
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