中国证券业协会证券纠纷调解中心

China securities industry association securities dispute mediation center

　　为了落实《证券法》赋予证券业协会的法定职责，促进证券行业更好地履行社会责任，缓解国家司法压力，减轻证券监管部门的信访压力，保护证券投资者和证券经营机构的合法权益，在中国证监会的指导下，在会员单位的大力支持下，中国证券业协会正式成立了证券调解专业委员会（以下简称“专业委员会”）和证券纠纷调解中心（以下简称“调解中心”），制定并颁布了证券纠纷调解相关制度，建立了协会主导、地方证券业协会（以下简称“地方协会”）协作参与、协会会员单位配合的证券纠纷行业调解机制。

In order to carry out[Securities law]The securities industry association to the legal responsibility,Promote the securities industry to better fulfill our social responsibility,National judicial relief pressure,Reduce the securities regulatory pressure complaint,The securities investor protection and the lawful rights and interests of the securities business institutions,Under the guidance of the China securities regulatory commission,In under the support of member units,The securities industry association of China formally established the securities mediation professional committee(Hereinafter referred to as"Professional committee")And the securities dispute mediation center(Hereinafter referred to as"Mediation center"),Formulated and promulgated the securities dispute mediation relevant system,Establish the leading association/Place the securities industry association(Hereinafter referred to as"Local association")Cooperation in/Association member unit with securities dispute mediation mechanism industry.

　　协会证券纠纷调解机制建立与证券纠纷调解工作推进过程如下：

Association of securities dispute mediation mechanism establishment and securities dispute mediation work promoting process is as follows:

　　第一，健全证券纠纷调解机制的组织体系

The first,Perfect securities dispute mediation mechanism of the organization system

　　2011年9月协会成立了由会员单位代表组成的专业委员会，负责研究处理与证券纠纷调解工作相关的专业问题，审议调解相关制度，决定调解员聘用等重大事项；2012年2月成立了调解中心，全面负责证券纠纷调解的日常组织、协调、外联和调解员管理等工作。

In September 2011, the association was established by the member unit of the professional committee of representatives,Responsible for research and treatment and securities dispute mediation work related problems,The mediation relevant system,Decided to hire important matters such as mediator;In February 2012 set up mediation center,Overall responsibility for securities dispute mediation daily organization/coordination/Public relations and mediators management.

　　第二，制定并发布证券纠纷调解制度

The second,Formulate and issue securities dispute mediation system

　　通过研究借鉴和深入调研，在征求证监会相关部门和会员单位意见的基础上，协会制定了《关于开展证券纠纷调解工作的实施方案》及相关业务规则。6月11日，协会通过网站，正式公布了《证券纠纷调解工作管理办法（试行）》、《证券纠纷调解规则（试行）》、《调解员管理办法（试行）》三项证券纠纷调解业务规则。

Through the research and reference for further research,In the CSRC for related departments and member unit on the basis of the opinions,Association established[About to carry out securities dispute mediation work plan]And related business rules.June 11,Association through the website,Officially announced the[Measures for the administration of securities dispute mediation work(trial)]/[Securities dispute mediation rules(trial)]/[The measures for the administration of the mediator(trial)]Three securities dispute mediation business rules.

　　第三，及时启动网站证券纠纷调解专区，开通在线申请平台

The third,Timely start website securities dispute mediation zone,On-line application platform

　　2012年7月，协会在网站上开通了证券纠纷调解专区，通过网络向社会公众发布证券纠纷调解规则、调解工作相关资料、调解员名册、调解工作动向等信息资料，同时，专区上还开设了在线申请平台，实时接收投资者和会员单位通过互联网提交的证券纠纷调解申请。

In July 2012,Association on the web site opened securities dispute mediation zone,Through the network to the society by securities dispute mediation rules/Mediation work related material/Mediators list/Mediation work trend information, etc,At the same time,The area also offers online application platform,Real-time receiving investors and member unit through the Internet securities disputes submitted application for mediation.

　　第四，加强培训，提高调解员队伍素质

The fourth,Strengthen the training,Improve the quality of the adjuster team

　　2012年7月，在地方协会推荐的基础上，经过调解中心初审、专业委员会审核，在全国范围内聘任了111名证券纠纷调解员，并于8月将调解员名录在协会网站证券纠纷调解专区进行了公示。9月和11月举办了两期调解员培训班，对所有已聘任的调解员和地方协会相关工作人员进行培训。

In July 2012,On the basis of local association recommends,After mediation center first trial/Professional committee review,In the range of 111 securities disputes mediators,And in August will list of mediators in association website securities dispute mediation special area for the public.September and November held two phase mediator training class,For all already employed mediator and local association related working personnel training.

　　协会主导的证券纠纷行业调解机制具有以下两大特色：

Association of leading securities dispute mediation mechanism industry has the following two major characteristics:

　　第一， 建立了“统一协调，属地解决” 调解工作机制

The first, established"Unified coordination,Apanage solve" Mediation work mechanism

　　为了充分发挥地方协会在区域行业自理管理中的作用，协会与全国36家地方协会建立了证券纠纷调解协作机制，使协会主导的证券纠纷调解工作可以在全国所有地区开展。另外，地方协会的会员单位大部分是协会会员单位在全国各地的分支机构，往往也是证券纠纷的直接当事人，通过地方协会处理证券纠纷可以就地、就近、快速解决证券纠纷，降低调解工作成本，提高调解工作效率。

In order to give full play to local association in regional industry the role of self-care management,Association with the national and local association home established securities dispute mediation cooperation mechanism,Make association leading securities dispute mediation work can be in the national all areas to develop.In addition,Local association member unit is mostly association member unit throughout the branches,And is often a securities disputes the parties directly,Through the local association processing securities disputes can be in situ/near/To quickly solve securities disputes,To reduce the cost of mediation,Improve the mediation work efficiency.

　　第二，设置简易调解程序，提高调解工作效率

The second,Set simple mediation program,Improve the mediation work efficiency

　　受理证券纠纷调解申请后，首先由调解中心或纠纷属地地方协会工作人员督促纠纷当事人协商解决纠纷，即对纠纷进行简易调解处理。对于简易调解处理后未达成和解的调解案件，纠纷双方可以自愿向调解中心申请进行普通调解，调解中心批准后，才进入下一阶段的选择调解员进行调解的普通调解程序。这种调解工作机制能够充分发挥协会自律管理职能优势，简化调解程序，提高调解工作效率。

Accept the securities dispute mediation after application,First of all by the mediation center or dispute apanage local association staff urged the dispute through negotiations between the parties to resolve the dispute,That is simple to disputes conciliation processing.For simple mediation treatment did not reach a reconciliation mediation case,Both sides can volunteer to dispute mediation center application common mediation,Mediation center after approval,To enter the next phase of choice for the common mediator mediation mediation program.The mediation work mechanism can give full play to the association self-discipline management function advantage,Simplify the mediation procedure,Improve the mediation work efficiency.

　　开展证券纠纷行业调解工作是落实证券公司创新发展研讨会精神的一项具体措施。在中国证监会、最高人民法院和其他政府部门的大力支持和指导下，在地方协会和会员单位的全力配合下，协会将不断完善证券纠纷调解制度，总结证券纠纷调解工作经验，推进证券纠纷调解工作持续稳定健康发展。

Carry out securities disputes industry mediation work, implement the innovation and development of the securities company conference spirit a specific measures.In the China securities regulatory commission/The supreme people's court and other government department's support and guidance,In the local association and member unit full cooperation,Association will continue to perfect securities dispute mediation system,Summary securities dispute mediation work experience,Promote securities dispute mediation work stable healthy development.