证券领域行政执法与刑事司法衔接机制研究被引量：4

Research on the Linkage Mechanism between Administrative Law Enforcement and Criminal Justice in Securities

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摘要证券领域行政执法与刑事司法的衔接问题是理论界和实务界亟须解决的重大现实问题。但是,从证券领域行政处罚与刑事处罚的规范文本分析来看,相关实体法衔接、程序衔接和证据衔接均存在相关问题。同时,证券市场刑事处罚与行政处罚衔接的实践中,证券违法行为在涉嫌犯罪后移送刑事制裁的形式不一,大量应当进行刑事处罚的案件仅予以行政处罚,行政处罚与刑事处罚轻重不协调。针对行政处罚与刑事处罚相关立法缺陷、行政认定与刑事认定的证明标准不一致、行政认定与刑事认定的主体分离、监督机关监督的力度和效果不佳、行政执法证据向刑事证据转换存在困难等困境,应当进一步合理界定行政处罚与刑罚处罚衔接的处理模式,明确行政处罚与刑事司法衔接之具体情形,在法律上明确行政处罚和刑事犯罪的边界,以司法解释为基础弥合行政规范与刑法规范的鸿沟,完善行政执法证据向刑事证据转换之路径。 The connection between administrative law enforcement and criminal justice in the securities field is a major practical problem that needs to be solved urgently in theory and practice.However,from the analysis of the normative texts of administrative punishment and criminal punishment in the securities field,there are relevant problems in the connection of relevant substantive laws,procedures and evidence.At the same time,in the practice of linking criminal punishment with administrative punishment in the securities market,the form of transfer of criminal punishment for securities violations after a suspected crime is different.A large number of criminal punishment cases are only subject to administrative punishment,which is not coordinated with the severity of criminal punishment.In view of the legislative deficiencies related to administrative punishment and criminal punishment,the inconsistent certification standards for administrative and criminal identification,the separation of the main body of administrative and criminal identification,the poor supervision intensity and effectiveness of the supervisory authority,and the difficulty in converting administrative law enforcement evidence into criminal evidence.It is necessary to further rationally define the processing mode of the connection between administrative punishment and penal punishment,clarify the specific situation of the connection between administrative punishment and criminal justice,clarify the boundary of administrative punishment and criminal offense in law,and bridge the administrative norms and criminal law norms based on judicial interpretation and improve the path from administrative evidence to criminal evidence.

作者商浩文 Shang Haowen

机构地区北京师范大学刑事法律科学研究院北京师范大学G

出处《刑法论丛》 2020年第4期161-183,共23页 Criminal Law Review

基金中央高校基本科研业务费专项资金资助项目教育部国别和区域研究专项资金资助课题(19GBQY020)成果中国法学会2019年度部级课题《企业合规视野下金融企业贿赂犯罪防治模式研究》[CLS(2019)C08] 最高人民检察院检察理论项目“境外追赃新形势下违法所得没收程序司法适用研究”[GJ(2019)D31]阶段性成果

关键词证券领域行政执法刑事司法衔接机制 Securities Field Administrative Law Enforcement Criminal Justice Cohesion Mechanism

分类号 D922.287 [政治法律—经济法学] D925.2 [政治法律—诉讼法学]

作者简介商浩文,北京师范大学刑事法律科学研究院副教授,G20反腐败追逃追赃研究中心研究员,刑法学博士、经济法方向博士后。