| | 中華人民共和國最高人民法院公告 |
| | 《最高人民法院關于證券糾紛代表人訴訟若幹問題的規定》已于2020年7月23日由最高人民法院審判委員會第1808次會議通過，現予公布，自2020年7月31日起施行。 |
| | 最高人民法院 |
| | 2020年7月30日 |
| | 最高人民法院關于證券糾紛代表人訴訟若幹問題的規定 |
| | （2020年7月23日最高人民法院審判委員會第1808次會議通過，自2020年7月31日起施行 法釋〔2020〕5號） |
| | 為進一步完善證券集體訴訟制度，便利投資者提起和參加訴訟，降低投資者維權成本，保護投資者合法權益，有效懲治資本市場違法違規行為，維護資本市場健康穩定發展，根據《中華人民共和國民事訴訟法》《中華人民共和國證券法》等法律的規定，結合證券市場實際和審判實踐，制定本規定。 |
| Announcement of the Supreme People's Court of the People's Republic of China | | 一、一般規定 |
| The Provisions of the Supreme People's Court on Several Issues Concerning Representative Actions for Securities Disputes, as adopted at the 1808th meeting of the Adjudication Committee of the Supreme People's Court on July 23, 2020, are hereby issued with effect from July 31, 2020. | | |
| Supreme People's Court | | |
| July 30, 2020 | | |
| Provisions of the Supreme People's Court on Several Issues Concerning Representative Actions for Securities Disputes | | |
| (SPC Interpretation No. 5 [2020], adopted at the 1808th meeting of the Adjudication Committee of the Supreme People's Court on July 23, 2020, and taking effect on July 31, 2020) | | |
| For the purposes of further improving the securities class action system, facilitating the initiation of and participation in actions by investors, reducing the cost for investors to protect their rights, protecting the lawful rights and interests of investors, effectively punishing violations of laws and regulations in the capital market, and maintaining the sound and stable development of the capital market, these Provisions are formulated in accordance with the Civil Procedure Law of the People's Republic of China, the Securities Law of the People's Republic of China, and other laws, in light of the actual circumstances of the securities market and trial practice. | | |
| I. General Provisions | | 第一條 本規定所指證券糾紛代表人訴訟包括因證券市場虛假陳述、內幕交易、操縱市場等行為引發的普通代表人訴訟和特別代表人訴訟。 |
| | 普通代表人訴訟是依據民事訴訟法第五十三條、第五十四條、證券法第九十五條第一款、第二款規定提起的訴訟；特別代表人訴訟是依據證券法第九十五條第三款規定提起的訴訟。 |
| Article 1 For the purposes of these Provisions, “representative actions for securities disputes” means the ordinary representative actions and special representative actions arising from conduct in the securities market such as misrepresentation, insider trading, and market manipulation. | | 第二條 證券糾紛代表人訴訟案件，由省、自治區、直轄市人民政府所在的市、計劃單列市和經濟特區中級人民法院或者專門人民法院管轄。 |
| The term “ordinary representative action” means an action initiated according to Articles 53 and 54 of the Civil Procedure Law and paragraphs 1 and 2, Article 95 of the Securities Law; and the term “special representative action” means an action initiated according to paragraph 3, Article 15 of the Securities Law. | | 對多個被告提起的訴訟，由發行人住所地有管轄權的中級人民法院或者專門人民法院管轄；對發行人以外的主體提起的訴訟，由被告住所地有管轄權的中級人民法院或者專門人民法院管轄。 |
| | 特別代表人訴訟案件，由涉訴證券集中交易的證券交易所、國務院批准的其他全國性證券交易場所所在地的中級人民法院或者專門人民法院管轄。 |
| Article 2 Representative action cases arising from securities disputes shall be under the jurisdiction of the intermediate people's courts or special people's courts of the seats of the people's governments of provinces, autonomous regions, and municipalities, cities under separate state planning, and special economic zones. | | 第三條 人民法院應當充分發揮多元解紛機制的功能，按照自願、合法原則，引導和鼓勵當事人通過行政調解、行業調解、專業調解等非訴訟方式解決證券糾紛。 |
| An action against multiple defendants shall be under the jurisdiction of the intermediate people's court or special people's court with jurisdiction in the domicile of the issuer; and an action against a party other than the issuer shall be under the jurisdiction of the intermediate people's court or special people's court with jurisdiction in the domicile of defendant. | | 當事人選擇通過訴訟方式解決糾紛的，人民法院應當及時立案。案件審理過程中應當著重調解。 |
| A special representative action case shall be under the jurisdiction of the intermediate people's court or specialized people's court in the place where the securities exchange, or any other national securities trading venue approved by the State Council, for the centralized trading of the case-related securities is located. | | |
| Article 3 People's courts shall maximize the functions of the diversified dispute resolution mechanisms and in accordance with the principles of voluntariness and legality, direct and encourage the parties to resolve securities disputes by non-litigation means such as administrative mediation, industry mediation, and specialized mediation. | | 第四條 人民法院審理證券糾紛代表人訴訟案件，應當依托信息化技術手段開展立案登記、訴訟文書送達、公告和通知、權利登記、執行款項發放等工作，便利當事人行使訴訟權利、履行訴訟義務，提高審判執行的公正性、高效性和透明度。 |
| If the parties choose to resolve their dispute by means of litigation, the people's court shall promptly file the case. Attention shall be paid to mediation during the trial of the case. | | |
| Article 4 A people's court, when trying a representative action case involving securities disputes, shall, in reliance on information technology, conduct case filing and registration, service of litigation documents, announcement and notification, rights registration, distribution of enforcement money, and other work, facilitate the parties' exercise of procedural rights and performance of procedural obligations, and improve the fairness, efficiency, and transparency of trial and enforcement. | | 二、普通代表人訴訟 |
| II. Ordinary Representative Actions | | 第五條 符合以下條件的，人民法院應當適用普通代表人訴訟程序進行審理： |
| | （一）原告一方人數十人以上，起訴符合民事訴訟法第一百一十九條規定和共同訴訟條件； |
| | （二）起訴書中確定二至五名擬任代表人且符合本規定第十二條規定的代表人條件； |
| | （三）原告提交有關行政處罰決定、刑事裁判文書、被告自認材料、證券交易所和國務院批准的其他全國性證券交易場所等給予的紀律處分或者采取的自律管理措施等證明證券侵權事實的初步證據。 |
| | 不符合前款規定的，人民法院應當適用非代表人訴訟程序進行審理。 |
| Article 5 Where the following conditions are met, the people's court shall conduct trial by applying the ordinary representative action procedure: | | 第六條 對起訴時當事人人數尚未確定的代表人訴訟，在發出權利登記公告前，人民法院可以通過閱卷、調查、詢問和聽證等方式對被訴證券侵權行為的性質、侵權事實等進行審查，並在受理後三十日內以裁定的方式確定具有相同訴訟請求的權利人範圍。 |
| | 當事人對權利人範圍有異議的，可以自裁定送達之日起十日內向上一級人民法院申請複議，上一級人民法院應當在十五日內作出複議裁定。 |
| (1) There are not less than ten plaintiffs, and the action conforms to Article 119 of the Civil Procedure Law and the conditions for joint action. | | 第七條 人民法院應當在權利人範圍確定後五日內發出權利登記公告，通知相關權利人在指定期間登記。權利登記公告應當包括以下內容： |
| | （一）案件情況和訴訟請求； |
| | （二）被告的基本情況； |
| | （三）權利人範圍及登記期間； |
| | （四）起訴書中確定的擬任代表人人選姓名或者名稱、聯系方式等基本信息； |
| | （五）自願擔任代表人的權利人，向人民法院提交書面申請和相關材料的期限； |
| | （六）人民法院認為必要的其他事項。 |
| | 公告應當以醒目的方式提示，代表人的訴訟權限包括代表原告參加開庭審理，變更、放棄訴訟請求或者承認對方當事人的訴訟請求，與被告達成調解協議，提起或者放棄上訴，申請執行，委托訴訟代理人等，參加登記視為對代表人進行特別授權。 |
| | 公告期間為三十日。 |
| (2) Two to five proposed representatives are determined in the written complaint and meet the conditions for a representative specified in Article 12 of these Provisions. | | 第八條 權利人應在公告確定的登記期間向人民法院登記。未按期登記的，可在一審開庭前向人民法院申請補充登記，補充登記前已經完成的訴訟程序對其發生效力。 |
| | 權利登記可以依托電子信息平台進行。權利人進行登記時，應當按照權利登記公告要求填寫訴訟請求金額、收款方式、電子送達地址等事項，並提供身份證明文件、交易記錄及投資損失等證據材料。 |
| (3) Plaintiff submits the prima facie evidence of the facts of securities tort such as the relevant administrative sanction decision, criminal adjudicative documents, defendant's admission materials, and disciplinary action or self-regulatory measures taken by a stock exchange or any other national securities trading venue approved by the State Council. | | 第九條 人民法院在登記期間屆滿後十日內對登記的權利人進行審核。不符合權利人範圍的投資者，人民法院不確認其原告資格。 |
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