近(jin)日，深(shen)(shen)圳(zhen)國際(ji)仲(zhong)裁(cai)(cai)院發布(bu)了(le)經深(shen)(shen)圳(zhen)國際(ji)仲(zhong)裁(cai)(cai)院第(di)三屆理事會第(di)七次會議(yi)(yi)審議(yi)(yi)通過的《深(shen)(shen)圳(zhen)國際(ji)仲(zhong)裁(cai)(cai)院證(zheng)(zheng)(zheng)券(quan)(quan)期(qi)貨民(min)事賠償糾紛仲(zhong)裁(cai)(cai)程序指(zhi)(zhi)引(yin)》（又稱《中(zhong)國（深(shen)(shen)圳(zhen)）證(zheng)(zheng)(zheng)券(quan)(quan)仲(zhong)裁(cai)(cai)中(zhong)心(xin)(xin)證(zheng)(zheng)(zheng)券(quan)(quan)期(qi)貨民(min)事賠償糾紛仲(zhong)裁(cai)(cai)程序指(zhi)(zhi)引(yin)》，下(xia)稱《指(zhi)(zhi)引(yin)》）以及配套(tao)的《中(zhong)國（深(shen)(shen)圳(zhen)）證(zheng)(zheng)(zheng)券(quan)(quan)仲(zhong)裁(cai)(cai)中(zhong)心(xin)(xin)證(zheng)(zheng)(zheng)券(quan)(quan)期(qi)貨民(min)事賠償糾紛案件仲(zhong)裁(cai)(cai)員推薦名冊》（下(xia)稱《推薦名冊》）。

　　2021年10月15日，中國證監(jian)會、司法部聯(lian)合發布《關于依法開展(zhan)證券(quan)期貨(huo)(huo)行業仲(zhong)裁(cai)試(shi)(shi)點(dian)的(de)(de)意見(jian)》（下(xia)稱《試(shi)(shi)點(dian)意見(jian)》），在北京、上海、深圳三地開展(zhan)證券(quan)期貨(huo)(huo)行業仲(zhong)裁(cai)試(shi)(shi)點(dian)工作(zuo)，明確試(shi)(shi)點(dian)仲(zhong)裁(cai)機構的(de)(de)仲(zhong)裁(cai)范圍包括“證券(quan)期貨(huo)(huo)市場平等主體之(zhi)間產(chan)生的(de)(de)財(cai)產(chan)性權利受到侵害(hai)引(yin)起的(de)(de)民事(shi)賠償糾紛”，并提出試(shi)(shi)點(dian)仲(zhong)裁(cai)機構應“制定符合證券(quan)期貨(huo)(huo)行業特(te)點(dian)的(de)(de)仲(zhong)裁(cai)規則”“建立(li)專門的(de)(de)證券(quan)期貨(huo)(huo)專業仲(zhong)裁(cai)員名冊(ce)”的(de)(de)相(xiang)關要求。

　　2021年(nian)11月1日(ri)，中(zhong)國（深(shen)(shen)圳(zhen)）證(zheng)券仲(zhong)裁(cai)(cai)中(zhong)心(xin)（下(xia)稱“證(zheng)券仲(zhong)裁(cai)(cai)中(zhong)心(xin)”）作(zuo)(zuo)為深(shen)(shen)圳(zhen)國際(ji)仲(zhong)裁(cai)(cai)院(yuan)專業(ye)性分支機構正(zheng)(zheng)式(shi)(shi)揭牌運作(zuo)(zuo)，成為全國首(shou)家試(shi)點的(de)證(zheng)券期貨(huo)行業(ye)仲(zhong)裁(cai)(cai)中(zhong)心(xin)。結(jie)合《試(shi)點意見》的(de)要(yao)求以及證(zheng)券期貨(huo)民事賠償糾紛群體性、復雜性的(de)特征，為更加公正(zheng)(zheng)、專業(ye)、便捷(jie)地通過(guo)仲(zhong)裁(cai)(cai)方式(shi)(shi)化解此類糾紛，深(shen)(shen)圳(zhen)國際(ji)仲(zhong)裁(cai)(cai)院(yuan)和證(zheng)券仲(zhong)裁(cai)(cai)中(zhong)心(xin)啟動(dong)了《指引》的(de)研(yan)究制定(ding)工作(zuo)(zuo)。經(jing)深(shen)(shen)圳(zhen)國際(ji)仲(zhong)裁(cai)(cai)院(yuan)第(di)三屆理事會(hui)第(di)七次會(hui)議審議通過(guo)的(de)《指引》將自(zi)2024年(nian)10月15日(ri)起正(zheng)(zheng)式(shi)(shi)施行，同日(ri)，亦將啟用相(xiang)配套(tao)的(de)《推薦名(ming)冊(ce)》。

　　《指(zhi)引》以《中華人民(min)共(gong)和國(guo)仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)法》和《深圳國(guo)際仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)院仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)規則(ze)(ze)》（下稱《仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)規則(ze)(ze)》）規定為重要基礎(chu)，借鑒境(jing)(jing)外證券(quan)仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)、境(jing)(jing)內證券(quan)訴訟經驗(yan)，全文共(gong)十(shi)九(jiu)條(tiao)，對(dui)鼓勵調解、先(xian)(xian)行(xing)賠(pei)(pei)付(fu)、仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)代表人、仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)庭(ting)組成(cheng)、審理時限、電子送(song)達等進行(xing)了特別規定。《指(zhi)引》作為《仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)規則(ze)(ze)》體系(xi)的組成(cheng)部分，《指(zhi)引》未規定的事(shi)項，適(shi)用《仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)規則(ze)(ze)》。《指(zhi)引》的適(shi)用范圍包括：一、已經經過(guo)行(xing)政處罰決(jue)定或者法院裁(cai)(cai)(cai)判的前置程序的證券(quan)期貨民(min)事(shi)賠(pei)(pei)償(chang)糾(jiu)紛案件；二、通(tong)過(guo)調仲(zhong)(zhong)(zhong)對(dui)接的機制引入仲(zhong)(zhong)(zhong)裁(cai)(cai)(cai)程序的證券(quan)期貨民(min)事(shi)賠(pei)(pei)償(chang)案件；三、基于(yu)投資者和先(xian)(xian)行(xing)賠(pei)(pei)付(fu)主體共(gong)同意(yi)愿對(dui)先(xian)(xian)行(xing)賠(pei)(pei)付(fu)進行(xing)促進的證券(quan)期貨民(min)事(shi)賠(pei)(pei)償(chang)案件。

　　根據證(zheng)券(quan)時報記(ji)者了解，作(zuo)為(wei)國內首個證(zheng)券(quan)期貨行業仲裁專(zhuan)門規則，《指引》有以下幾方面(mian)創新亮點：

　　第(di)(di)一(yi)、明確靈(ling)活達成書面(mian)仲(zhong)(zhong)(zhong)裁(cai)協(xie)議的(de)方式。《指引》第(di)(di)三(san)條第(di)(di)（三(san)）款規定，一(yi)方當事人在招股說明書、募集說明書、公司章程等文件中作(zuo)出愿意將爭議提交深圳國際(ji)仲(zhong)(zhong)(zhong)裁(cai)院或其(qi)證券(quan)(quan)仲(zhong)(zhong)(zhong)裁(cai)中心仲(zhong)(zhong)(zhong)裁(cai)的(de)意思表示，另(ling)一(yi)方向深圳國際(ji)仲(zhong)(zhong)(zhong)裁(cai)院或證券(quan)(quan)仲(zhong)(zhong)(zhong)裁(cai)中心申(shen)請(qing)仲(zhong)(zhong)(zhong)裁(cai)的(de)，視為存在書面(mian)仲(zhong)(zhong)(zhong)裁(cai)協(xie)議。該條款是《仲(zhong)(zhong)(zhong)裁(cai)規則》第(di)(di)八條第(di)(di)（四(si)）款第(di)(di)1項在證券(quan)(quan)期貨行業(ye)的(de)具體規定，明確了靈(ling)活達成書面(mian)仲(zhong)(zhong)(zhong)裁(cai)協(xie)議的(de)方式。

　　第二、注重證券(quan)(quan)(quan)(quan)期(qi)(qi)(qi)貨民事(shi)賠(pei)償糾(jiu)紛解決(jue)(jue)的(de)專(zhuan)(zhuan)(zhuan)(zhuan)業(ye)(ye)(ye)性。為更專(zhuan)(zhuan)(zhuan)(zhuan)業(ye)(ye)(ye)地解決(jue)(jue)證券(quan)(quan)(quan)(quan)期(qi)(qi)(qi)貨民事(shi)賠(pei)償糾(jiu)紛，證券(quan)(quan)(quan)(quan)仲(zhong)裁(cai)(cai)(cai)中心從(cong)(cong)《深(shen)圳(zhen)國際(ji)仲(zhong)裁(cai)(cai)(cai)院仲(zhong)裁(cai)(cai)(cai)員(yuan)名冊(ce)》中選取了460位具有(you)證券(quan)(quan)(quan)(quan)期(qi)(qi)(qi)貨行(xing)業(ye)(ye)(ye)相(xiang)關(guan)專(zhuan)(zhuan)(zhuan)(zhuan)長(chang)的(de)仲(zhong)裁(cai)(cai)(cai)員(yuan)納入(ru)《推(tui)薦名冊(ce)》。《指引》“仲(zhong)裁(cai)(cai)(cai)庭的(de)組成”條款明確，除非《仲(zhong)裁(cai)(cai)(cai)規則》或《指引》另(ling)有(you)規定或當(dang)事(shi)人另(ling)有(you)約定的(de)情況下，仲(zhong)裁(cai)(cai)(cai)庭由三名仲(zhong)裁(cai)(cai)(cai)員(yuan)組成，首席仲(zhong)裁(cai)(cai)(cai)員(yuan)從(cong)(cong)《推(tui)薦名冊(ce)》中產生。《指引》也明確證券(quan)(quan)(quan)(quan)仲(zhong)裁(cai)(cai)(cai)中心可以邀請中國證監會(hui)及其(qi)派出機構(gou)、證券(quan)(quan)(quan)(quan)期(qi)(qi)(qi)貨交易場所、證券(quan)(quan)(quan)(quan)登(deng)記結算機構(gou)、投資者保護機構(gou)、證券(quan)(quan)(quan)(quan)期(qi)(qi)(qi)貨行(xing)業(ye)(ye)(ye)協(xie)會(hui)的(de)專(zhuan)(zhuan)(zhuan)(zhuan)家(jia)及從(cong)(cong)事(shi)證券(quan)(quan)(quan)(quan)期(qi)(qi)(qi)貨領(ling)域研究(jiu)的(de)高校學者組成先行(xing)賠(pei)付(fu)促(cu)進(jin)(jin)工(gong)作組，更加專(zhuan)(zhuan)(zhuan)(zhuan)業(ye)(ye)(ye)地促(cu)進(jin)(jin)雙方當(dang)事(shi)人就賠(pei)付(fu)方案進(jin)(jin)行(xing)磋商(shang)。

　　第三、便(bian)利調(diao)(diao)解等其他解紛機制(zhi)與仲(zhong)裁(cai)(cai)機制(zhi)的(de)對接。《指(zhi)(zhi)引(yin)》鼓(gu)勵調(diao)(diao)解，規(gui)定除非當(dang)(dang)事人明(ming)確(que)書面拒絕，適用(yong)《指(zhi)(zhi)引(yin)》的(de)仲(zhong)裁(cai)(cai)案(an)件可(ke)以(yi)(yi)在受(shou)理(li)后(hou)先(xian)進(jin)(jin)入(ru)“先(xian)行(xing)調(diao)(diao)解”程(cheng)序(xu)。《指(zhi)(zhi)引(yin)》也明(ming)確(que)證券仲(zhong)裁(cai)(cai)中(zhong)心(xin)可(ke)以(yi)(yi)組織(zhi)成(cheng)立(li)先(xian)行(xing)賠付(fu)(fu)促進(jin)(jin)工作組，促進(jin)(jin)當(dang)(dang)事人就先(xian)行(xing)賠付(fu)(fu)方(fang)案(an)展開磋商，并且明(ming)確(que)當(dang)(dang)事人可(ke)以(yi)(yi)依據調(diao)(diao)解或先(xian)行(xing)賠付(fu)(fu)促進(jin)(jin)程(cheng)序(xu)達成(cheng)的(de)和(he)解協(xie)(xie)議或賠付(fu)(fu)協(xie)(xie)議，請求深(shen)圳國際仲(zhong)裁(cai)(cai)院出具裁(cai)(cai)決(jue)書或調(diao)(diao)解書，使(shi)和(he)解協(xie)(xie)議或賠付(fu)(fu)協(xie)(xie)議的(de)內容具備強制(zhi)執(zhi)行(xing)力，促進(jin)(jin)當(dang)(dang)事人和(he)諧圓(yuan)滿解決(jue)糾紛。

　　第(di)四、創新群體性證券期(qi)貨民(min)事賠償糾紛仲(zhong)裁(cai)(cai)程序。《指引》進一步發(fa)展了《仲(zhong)裁(cai)(cai)規則》中(zhong)已有的(de)“合并(bing)仲(zhong)裁(cai)(cai)”機制(zhi)(zhi)，并(bing)創新性地(di)將(jiang)訴訟中(zhong)的(de)群體性糾紛解決(jue)經驗與(yu)仲(zhong)裁(cai)(cai)機制(zhi)(zhi)相結合，制(zhi)(zhi)定“仲(zhong)裁(cai)(cai)代表人”“示范裁(cai)(cai)決(jue)”條款，以更便(bian)捷地(di)解決(jue)涉及(ji)眾多投資者的(de)證券期(qi)貨民(min)事賠償糾紛，提高審理效率、節約社會成本(ben)。