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Provisions of the Shanghai Financial Court on the Representative Action Mechanism for Securities Disputes (for Trial Implementation) [Effective]
上海金融法院關于證券糾紛代表人訴訟機制的規定(試行) [現行有效]
【法寶引證碼】
 
  
  
Provisions of the Shanghai Financial Court on the Representative Action Mechanism for Securities Disputes (for Trial Implementation) 

上海金融法院關于證券糾紛代表人訴訟機制的規定(試行)

(March 24, 2020) (2020年3月24日)

Chapter I General Provisions 

第一章 總 則

Article 1 For the purposes of properly handling group securities disputes, safeguarding the lawful rights and interests of parties, and achieving the timely and effective resolution of disputes, these Provisions are developed according to the Securities Law of the People's Republic of China (hereinafter referred to as the "Securities Law"), the Civil Procedure Law of the People's Republic of China (hereinafter referred to as the "Civil Procedure Law"), and the Interpretation of the Supreme People's Court on the Application of the Civil Procedure Law of the People's Republic of China, among others, in light of the actual trial work of the Court.   第一條 為妥善處理群體性證券糾紛,維護當事人的合法權益,實現糾紛的及時有效化解,根據《中華人民共和國證券法》(以下簡稱《證券法》)《中華人民共和國民事訴訟法》(以下簡稱《民事訴訟法》)《最高人民法院關于適用〈中華人民共和國民事訴訟法〉的解釋》等,結合本院審判工作實際,制定本規定。
Article 2 A representative action as referred to in these Provisions may either be ordinary or special. An ordinary representative action is an action brought under Articles 53 and 54 of the Civil Procedure Law, and a special representative action is an action brought under paragraph 3, Article 95 of the Securities Law.   第二條 本規定所指代表人訴訟分為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》五十三條、第五十四條規定提起的訴訟,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 3 Where representative action is applicable to the trial of a case, the procedural rights of the investors shall be properly protected, the diversified resolution of disputes shall be promoted, the intensive level of the trial of the case shall be improved, the trial efficiency shall be raised, and the cost of litigation shall be reduced.   第三條 適用代表人訴訟審理案件的,應當妥善保護投資者訴訟權利,促進糾紛多元化解,提升案件審理集約化水平,提高審判效率,降低訴訟成本。
Article 4 Where representative action is applicable to the trial of a case, the litigation efficiency shall be improved by relying on information technology, and by establishing an online platform for representative actions, litigation procedures such as rights registration, selection of representatives, announcements and notices, and electronic service shall be facilitated.   第四條 適用代表人訴訟審理案件的,應當依托信息技術提高訴訟效率,通過設立代表人訴訟在線平臺,實現權利登記、代表人推選、公告通知、電子送達等訴訟程序的便利化。
Article 5 The Court and securities registration and settlement institutions shall establish a data exchange mechanism for electronic transactions to provide support for the calculation of compensation for losses and the verification of the scope of eligible investors.   第五條 本院與證券登記結算機構建立電子交易數據對接機制,為損失賠償數額計算以及適格投資者范圍核驗提供支持。
Article 6 These Provisions apply to any group civil dispute over compensation arising from securities misrepresentation, insider trading, market manipulation, or any other act, under the jurisdiction of the Court.   第六條 凡屬于本院管轄范圍,因證券虛假陳述、內幕交易、操縱市場等行為引發的民事賠償群體性糾紛,適用本規定。
The provisions of these Provisions on the ordinary representative action mechanism may apply mutatis mutandis to other group financial, civil, and commercial disputes. 其他群體性金融民商事糾紛可以參照本規定關于普通代表人訴訟機制的規定處理。
Chapter II Ordinary Representative Action Mechanism 

第二章 普通代表人訴訟機制

Section 1 Case Docketing and Rights Registration 

第一節 立案與權利登記

Article 7 The parties that are many and determinate in number at the time of bring an action and are found to meet the conditions for joint action upon examination shall be joint plaintiffs for unified case docketing and registration.   第七條 當事人人數眾多在起訴時確定的,經審查符合共同訴訟條件的,將其作為共同原告統一立案登記。
Article 8 Where the subject matters of action is of the same kind, and the parties are many and indeterminate in number at the time of bringing action, the Court may, upon acceptance, issue an announcement on rights registration, so notifying as to enable relevant investors to register with the Court during the announcement period.   第八條 訴訟標的是同一種類,當事人人數眾多在起訴時不確定的,本院受理后可以發出權利登記公告,通知相關投資者在公告期間內向本院登記。
The announcement period shall be fixed in view of the specific circumstances of the case, but may not be less than 30 days. 公告期間根據案件的具體情況確定,但不得少于三十日。
Article 9 Before an announcement on rights registration is issued, the nature of the alleged securities infringement and the basic infringement facts claimed, among others, shall be examined to determine the scope of rights registration.   第九條 發出權利登記公告前,應當對被訴證券侵權行為的性質、訴請的基礎侵權事實等進行審查,確定權利登記范圍。
Specific examination methods include consulting case files and investigating and questioning the parties, and the parties on both sides shall be organized for a hearing. 具體審查方式包括閱卷、調查和詢問當事人等,并應當組織雙方當事人聽證。
Article 10 An announcement on rights registration shall cover basic facts related to the alleged securities infringement, circumstances of the defendant sued, scope of rights registration, and time limit for registration, among others.   第十條 權利登記公告的內容應當包括被訴證券侵權行為所涉基礎事實、已訴被告當事人情況、權利登記范圍及登記期限等。
Article 11 The fee for an announcement on rights registration shall be paid in advance by plaintiffs and borne as court costs by the losing side based on adjudicative results.   第十一條 權利登記公告的費用由原告先行墊付,并作為訴訟費用根據裁判結果由敗訴方承擔。
Article 12 An investor shall register on an online platform designated by the Court within the announcement period.   第十二條 投資者應當在公告期間內,于本院指定的在線平臺進行登記。
An investor that registers its rights shall provide identification materials as required and pass the online identity authentication. 投資者進行權利登記時,應當根據要求提供身份證明材料,并通過在線身份核驗。
Article 13 An investor that registers its rights shall provide the name of the plaintiff, information of its attorney (if any) and the power of attorney, name of the defendant, amount of claim, method of payment, electronic service address, and other items.   第十三條 投資者進行權利登記時,應當填寫原告姓名或名稱、訴訟代理人(如有)信息及代理權限、被告姓名或名稱、訴訟請求金額、收款方式、電子送達地址等事項。
If an investor authorizes an attorney to conduct litigation, its rights may be registered by its attorney, after the investor has passed the identity authentication. 投資者授權訴訟代理人進行訴訟的,在通過本人身份核驗后,權利登記可由其訴訟代理人進行。
Article 14 Where an investor lists a party other than that in the announcement as a defendant, the investor shall further provide the basic information of the joint defendant and submit corresponding evidential materials. If the investor fails to provide the appropriate information on the defendant, the defendant shall be treated as being equivocal.   第十四條 投資者將公告之外的其他主體列為被告的,應當進一步填寫該共同被告的基本信息,并提交相應證明材料。投資者未能提供被告適當信息的,視為該被告不明確。
Article 15 The Court shall obtain the list of right holders from securities registration and settlement institutions based on the scope of rights registration determined by the announcement and examine the scope of investors applying for registration accordingly.   第十五條 本院依據公告確定的權利登記范圍從證券登記結算機構調取權利人名單,并據此對申請登記的投資者范圍進行審查。
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