持续优化调解服务 证券纠纷调解规则修订发布

Core Viewpoint - The China Securities Association (CSA) has revised and released the "Securities Dispute Mediation Rules" to enhance the multi-faceted resolution mechanism for disputes in the securities industry, aiming to protect investors' rights and interests effectively [1][2]. Group 1: Mediation Mechanism and Principles - The revised rules encompass mediation work mechanisms, principles, rights and obligations of parties, organizational structure, application and acceptance of mediation, mediation procedures, and document management [1][2]. - The rules emphasize the leadership of the Party, enhance the credibility of industry mediation, establish a self-discipline punishment mechanism, and introduce a small claims rapid mediation mechanism [1][2][3]. Group 2: Implementation and Collaboration - The CSA aims to implement the recent guidelines from the National Financial Regulatory Administration, People's Bank of China, and China Securities Regulatory Commission to improve the overall effectiveness of financial dispute mediation [2][3]. - The rules specify that mediation work will be conducted under the Party's leadership, ensuring fairness and neutrality while providing convenient and efficient mediation services [3]. Group 3: Timeliness and Accountability - The rules establish specific time limits for mediation based on the complexity of cases, ensuring sufficient communication while preventing prolonged disputes [3]. - A self-discipline punishment mechanism is introduced for serious breaches, such as failure to comply with effective mediation agreements, to promote industry integrity and enhance the credibility of mediation work [3][4]. Group 4: Cost Reduction and Efficiency - The introduction of a small claims rapid mediation mechanism aims to lower the cost of rights protection for investors and improve dispute resolution efficiency [4]. - The CSA will enhance collaboration with courts and arbitration institutions to ensure the effectiveness of mediation agreements and facilitate timely resolution of collective disputes [4].