为投资者提供便捷、高效、可信赖的权益救济途径，不仅是践行新时代"枫桥经验"、推动法治社会建设的生动实践，更是夯实市场信心根基的必然要求。为 进一步提升资本市场矛盾纠纷预防化解能力和法治化水平,中国证监会等金融监管部门发布了《关于完善证券期货纠纷多元化解机制深入推进诉源治理的工 作方案》等系列文件，对加强证券期货纠纷多元化解机制建设提出了明确要求。和解、调解、仲裁、行政处理、诉讼等方式功能各异、各有侧重，既可单独 运用，亦可协同配合。本次宣讲结合有关政策意见精神，重点介绍与证券纠纷多元化解机制相关的法律规定，以期引导投资者依法理性运用纠纷多元化 解"工具箱",推动纠纷矛盾高效实质化解。 据了解，"投教领航"投资者教育网络课程第三季是陕西投资者教育领航者联盟第五年举办的公益性投教网络课程。课程旨在进一步帮助投资者了解规则、辨 识风险，持续引导投资者树立理性、价值、长期投资理念，培育理性、成熟的投资者。 本期的课程主题是——证券纠纷多元化解机制有关法律问题解读，由西部证券（002673）股份有限公司法律事务部高级经理、和合文化传承官、公司律师、 优秀志愿者、法学博士何兆飞为各位投资者介绍：证券纠纷多元化解机制的依据 ...

据中国证券业协会5月15日消息，为进一步完善证券行业纠纷多元化解机制，畅通非诉讼纠纷解决 渠道，切实维护投资者合法权益，中证协组织投资者服务与保护专业委员会，修订发布《中国证券业协 会证券纠纷调解规则》。 作为行业自律组织，在化解系列性或群体性纠纷时，人民法院作出生效示范判决后，中证协可接受 人民法院的委托或委派，参照生效判决文件进行集中调解，促进"同案同判"，降低投资者维权成本，推 动群体性纠纷的及时化解。 从内容上看，《规则》形成了涵盖调解工作机制与原则、当事人权利与义务、组织架构、调解申请 与受理、调解程序与资料管理等方面内容的证券纠纷调解规则，坚持党的领导、明确案件调解时限、建 立自律惩戒机制是其修订的特色。 具体来看，《规则》明确，调解工作在党的领导下开展，秉持公平公正理念，突出调解的中立性， 坚持"可调尽调"原则，为当事人提供就近、便捷、高效的调解服务，持续深化与其他社会领域矛盾化解 机制的合作，并进一步完善调解案件受理、调解程序、档案管理、调解监督、信息保密、履职回避、调 解员聘任管理等机制；此外，《规则》还明确了不同复杂程度案件的调解时限，既保障当事人之间能够 充分沟通协商，又防止案件久调不决 ...

Core Viewpoint - The revised "Securities Dispute Mediation Rules" aims to enhance the multi-faceted resolution mechanism for disputes in the securities industry, ensuring the protection of investors' legal rights and promoting active participation in mediation efforts [1][4]. Summary by Sections Section 1: Regulation and Principles - The rules establish a framework for mediation work, emphasizing fairness, impartiality, and the principle of "as much mediation as possible," while enhancing the credibility of mediation services [2][3]. Section 2: Mechanism Improvement - The rules improve the mediation mechanism by clarifying the rights and obligations of parties involved, ensuring orderly progress in mediation, and enhancing the effectiveness of mediation services [2][3]. Section 3: Streamlining Mediation Processes - The rules optimize key stages in the mediation process, introducing simplified and standard mediation procedures based on the complexity of disputes, and allowing for various mediation methods such as in-person, online, and telephone mediation [3][4]. Section 4: Collaborative Mechanisms - The rules enhance cooperation between the China Securities Association and judicial bodies, establishing clear pathways for the confirmation of mediation agreements through judicial, notarization, and arbitration methods [3][4]. Section 5: Small Claims Fast-Track - A new provision for small claims fast-track mediation is introduced, allowing industry institutions to voluntarily agree to accept mediation proposals within a specified monetary range, facilitating timely resolution of minor disputes [4]. Section 6: Demonstrative Judgments and Mediation - The establishment of a "demonstrative judgment and mediation linkage mechanism" aims to address collective disputes by allowing the China Securities Association to mediate based on effective court judgments, reducing costs for investors [4].

Core Viewpoint - The China Securities Association has revised the "Securities Dispute Mediation Rules" to enhance the multi-faceted resolution mechanism for disputes in the securities industry, ensuring the protection of investors' legal rights and promoting active participation in mediation efforts [1][2][3] Group 1: Mediation Work Mechanism - The revised rules establish a framework for mediation work, emphasizing fairness, impartiality, and the principle of "maximizing mediation" to provide convenient and efficient services for parties involved [1] - A self-discipline mechanism is introduced to address serious breaches of trust, enhancing the credibility of mediation work within the industry [1] Group 2: Mediation Process and Efficiency - The rules improve the mediation process by optimizing key stages such as application acceptance, mediator selection, and agreement signing, while introducing different procedures based on the complexity of disputes [2] - A small claims rapid mediation mechanism is added, allowing industry institutions to voluntarily agree to accept mediation proposals for disputes within a certain monetary range, thus saving judicial resources [3] Group 3: Collaboration and Enforcement - The rules enhance cooperation between the China Securities Association, courts, and arbitration institutions to provide multiple channels for dispute resolution and ensure the effectiveness of mediation agreements through judicial and notarization methods [2][3] - A mechanism for connecting model judgments with mediation is established to facilitate the resolution of collective disputes, promoting consistency in judgments and reducing costs for investors [3]

Core Viewpoint - The article discusses the recent revision of the "Securities Dispute Mediation Rules" by the China Securities Association, aimed at enhancing the mediation mechanism for securities disputes and protecting investors' rights [1][2][3]. Group 1: Mediation Work Mechanism - The revised rules enhance the credibility of mediation work by establishing a framework that emphasizes fairness, impartiality, and the principle of "as much mediation as possible" [1]. - A self-discipline mechanism is introduced to address serious breaches of trust, thereby promoting integrity within the industry [1]. Group 2: Mediation Process and Efficiency - The rules improve the mediation process by clarifying the rights and obligations of parties involved, ensuring orderly progress, and enhancing the effectiveness of mediation services [2]. - Different mediation procedures are established based on the complexity of disputes, including simplified mediation for less complex cases, to facilitate timely resolution [2][3]. Group 3: Collaborative Mechanisms - The article highlights the importance of cooperation between the China Securities Association, courts, and arbitration institutions to enhance the multi-channel resolution of disputes [2]. - The effectiveness of mediation agreements is reinforced through judicial, notarization, and arbitration methods to ensure compliance [2]. Group 4: New Mechanisms for Small Disputes - A new small-claims mediation mechanism allows industry institutions to voluntarily agree to accept mediation proposals for disputes within a certain monetary range, improving efficiency and conserving judicial resources [3]. Group 5: Group Dispute Resolution - The introduction of a "demonstrative judgment and mediation connection mechanism" aims to facilitate the resolution of collective disputes by allowing the China Securities Association to mediate based on effective court judgments [3].

Core Viewpoint - The China Securities Association has revised the "Securities Dispute Mediation Rules" to enhance the multi-faceted resolution mechanism for securities disputes, ensuring better protection of investors' rights and interests, and aligning with national financial regulatory guidelines [1][2]. Summary by Sections Section 1: Regulatory Framework - The revised mediation rules are based on the "Securities Law of the People's Republic of China" and the "Opinions on Promoting High-Quality Development of Financial Dispute Mediation" issued by financial regulatory authorities [1]. Section 2: Implementation of Mandatory Mediation - The rules clarify the circumstances under which mandatory mediation applies, excluding disputes already resolved through other means or those with existing effective mediation agreements [2]. Section 3: Enhancing Credibility and Mechanisms - The rules emphasize fair and impartial mediation, establishing a self-discipline mechanism for serious breaches of mediation agreements, thereby enhancing the credibility of the mediation process [3]. Section 4: Streamlining Mediation Processes - The mediation process has been optimized to include simplified and standard procedures based on the complexity of disputes, with various mediation methods such as in-person, online, and telephone mediation [4]. Section 5: Cooperation Mechanisms - The association has improved communication and collaboration with courts and arbitration institutions to enhance the effectiveness of mediation agreements and ensure their enforcement [4][5]. Section 6: Introduction of Small Claims Mediation - A new small claims mediation mechanism allows industry institutions to voluntarily agree to mediation proposals for disputes within a certain monetary range, facilitating quicker resolutions [5]. Section 7: Mechanism for Collective Dispute Resolution - A "demonstrative judgment and mediation connection mechanism" has been established to assist in resolving collective disputes, allowing for centralized mediation based on effective court judgments [5].

近年来证券虚假陈述、操纵市场纠纷数量不断增多，案情复杂、涉及投资者人数众多，是证券纠纷化解 中的难点问题。本次发布的十大典型案例，是双方通过创新多元解纷机制合作化解群体性纠纷的优秀成 果，包括通过特别代表人诉讼一次性化解的科创板公司纠纷、全国首例适用示范性判决全链条机制化解 的科技企业纠纷和首创概括性先行调解承诺机制解决的民营企业纠纷等。希望通过此次典型案例的发 布，一方面向投资者宣传多元解纷理念，为做深做实纠纷多元化解机制提供"上海智慧"和"上海样本"， 另一方面向资本市场主体提供纠纷解决思路，提升资本市场内在稳定性，切实保障中小投资者合法权 益。 自2018年10月上海金融法院与中证投服中心正式建立诉调对接工作机制以来，双方坚持把非诉讼纠纷解 决机制挺在前面，紧密协作，持续加强协调联动，积极推动诉调对接机制创新发展，取得良好成效。 截至目前，上海金融法院累计向中证投服中心委托并调解成功纠纷4140件，涉及纠纷金额2.65亿元，投 资者获赔金额1.6亿元。在纠纷化解过程中，上海金融法院、中证投服中心综合运用示范性判决全链条 纠纷化解机制、证券纠纷协同化解机制、示范调解机制、诉讼与非诉讼解纷衔接机制等多种方式 ...