中國證(zheng)券投(tou)資(zi)(zi)者(zhe)保護(hu)基(ji)(ji)金(jin)有限(xian)責任公(gong)司(簡稱(cheng)“投(tou)保基(ji)(ji)金(jin)公(gong)司”)充分發(fa)(fa)揮在(zai)(zai)證(zheng)券公(gong)司風險(xian)處(chu)置過程(cheng)中積累的投(tou)資(zi)(zi)者(zhe)賠付經驗,立(li)足中國資(zi)(zi)本市場發(fa)(fa)展以及投(tou)資(zi)(zi)者(zhe)保護(hu)實(shi)際,積極探索投(tou)資(zi)(zi)者(zhe)賠償(chang)救濟的發(fa)(fa)展路(lu)徑和(he)改革方向,逐步構建了包括投(tou)保基(ji)(ji)金(jin)賠付、專項補償(chang)基(ji)(ji)金(jin)賠付和(he)行政和(he)解金(jin)賠付等在(zai)(zai)內的多層(ceng)次投(tou)資(zi)(zi)者(zhe)賠付體(ti)系,同(tong)時(shi)創建了特色化的證(zheng)券糾(jiu)紛調解模式。
證券公司風險處置投保基金賠付
證(zheng)券公(gong)(gong)司(si)(si)(si)(si)風(feng)險處(chu)置投(tou)(tou)保(bao)基(ji)金(jin)(jin)(jin)(jin)賠付(fu)適(shi)用(yong)(yong)于證(zheng)券公(gong)(gong)司(si)(si)(si)(si)被(bei)撤銷、被(bei)關閉(bi)、破產(chan)等情況下,按(an)照國家(jia)有關政策(ce)規定對投(tou)(tou)資(zi)者債權的(de)賠付(fu)。投(tou)(tou)保(bao)基(ji)金(jin)(jin)(jin)(jin)公(gong)(gong)司(si)(si)(si)(si)使(shi)用(yong)(yong)投(tou)(tou)保(bao)基(ji)金(jin)(jin)(jin)(jin)償付(fu)證(zheng)券公(gong)(gong)司(si)(si)(si)(si)債權人后,取得相應的(de)受償權,依法參與證(zheng)券公(gong)(gong)司(si)(si)(si)(si)的(de)清(qing)算(suan)。投(tou)(tou)保(bao)基(ji)金(jin)(jin)(jin)(jin)公(gong)(gong)司(si)(si)(si)(si)共(gong)參與了26家(jia)被(bei)處(chu)置證(zheng)券公(gong)(gong)司(si)(si)(si)(si)的(de)破產(chan)清(qing)算(suan),其中(zhong),24家(jia)被(bei)處(chu)置證(zheng)券公(gong)(gong)司(si)(si)(si)(si)使(shi)用(yong)(yong)了投(tou)(tou)保(bao)基(ji)金(jin)(jin)(jin)(jin)。截至2018年12月底,投(tou)(tou)保(bao)基(ji)金(jin)(jin)(jin)(jin)公(gong)(gong)司(si)(si)(si)(si)累計向24家(jia)被(bei)處(chu)置證(zheng)券公(gong)(gong)司(si)(si)(si)(si)撥付(fu)投(tou)(tou)保(bao)基(ji)金(jin)(jin)(jin)(jin)225.282億元(yuan),其中(zhong),162.727億元(yuan)用(yong)(yong)于彌(mi)補客戶(hu)證(zheng)券交易結(jie)算(suan)資(zi)金(jin)(jin)(jin)(jin)缺口,涉及(ji)960多萬(wan)正常經紀類(lei)賬戶(hu);62.555億元(yuan)用(yong)(yong)于收購個(ge)人債權,涉及(ji)6萬(wan)多名債權人。
違法責任主體設立專項補償基金賠付
違(wei)法責(ze)任主(zhu)體設立專項(xiang)補(bu)償(chang)(chang)基(ji)金適(shi)用(yong)于(yu)因上市公司證券虛假陳述而遭受(shou)損失(shi)的(de)(de)投資(zi)者(zhe)的(de)(de)損失(shi)賠付(fu)。投保基(ji)金公司積極推(tui)動落實違(wei)法責(ze)任主(zhu)體先(xian)(xian)行賠付(fu)機制。2013年以來,投保基(ji)金公司接受(shou)出資(zi)人委托,先(xian)(xian)后擔任萬(wan)福生科(ke)、海聯訊(xun)和欣泰電(dian)氣三單(dan)專項(xiang)補(bu)償(chang)(chang)基(ji)金管理人,負責(ze)基(ji)金資(zi)產的(de)(de)管理、運作和處置。三單(dan)專項(xiang)補(bu)償(chang)(chang)基(ji)金中,接受(shou)補(bu)償(chang)(chang)的(de)(de)適(shi)格投資(zi)者(zhe)共(gong)計34306人,占適(shi)格投資(zi)者(zhe)總(zong)人數的(de)(de)95%以上;共(gong)計支付(fu)補(bu)償(chang)(chang)金509374055元(yuan),占賠付(fu)總(zong)金額比例的(de)(de)99%以上,補(bu)償(chang)(chang)效果顯著,獲得市場和投資(zi)者(zhe)的(de)(de)一致好評(ping)。
行政和解金賠付
行(xing)(xing)政(zheng)(zheng)和(he)(he)解(jie)金(jin)賠付(fu)適用于行(xing)(xing)政(zheng)(zheng)相對人在證監(jian)會(hui)對其(qi)涉嫌(xian)違法行(xing)(xing)為進行(xing)(xing)調查(cha)執(zhi)法過(guo)程中,主動向證監(jian)會(hui)提出行(xing)(xing)政(zheng)(zheng)和(he)(he)解(jie)并交納行(xing)(xing)政(zheng)(zheng)和(he)(he)解(jie)金(jin)用于遭受損(sun)失投(tou)(tou)(tou)資者的(de)損(sun)失賠付(fu)。投(tou)(tou)(tou)保基金(jin)公(gong)司(si)依法履行(xing)(xing)行(xing)(xing)政(zheng)(zheng)和(he)(he)解(jie)金(jin)管理職責,制(zhi)定、執(zhi)行(xing)(xing)行(xing)(xing)政(zheng)(zheng)和(he)(he)解(jie)金(jin)補償(chang)方(fang)案,使(shi)用行(xing)(xing)政(zheng)(zheng)和(he)(he)解(jie)金(jin)補償(chang)投(tou)(tou)(tou)資者損(sun)失。目前(qian),投(tou)(tou)(tou)保基金(jin)公(gong)司(si)根據(ju)證監(jian)會(hui)統一安排(pai)部(bu)署,已做好開展行(xing)(xing)政(zheng)(zheng)和(he)(he)解(jie)金(jin)管理的(de)各項準備工(gong)作。
特色化證券糾紛化解工作
作(zuo)為最高人民(min)法(fa)院(yuan)(yuan)和(he)證監會確定的(de)(de)(de)全國證券(quan)(quan)期(qi)貨(huo)糾紛試點調(diao)(diao)解(jie)組織之一,投保(bao)(bao)基金(jin)(jin)公(gong)(gong)司充分發揮既(ji)有(you)實(shi)踐經驗優(you)勢(shi)和(he)專業優(you)勢(shi),創新工作(zuo)模(mo)式(shi),在(zai)支持輔助司法(fa)機關(guan)審判上(shang)市公(gong)(gong)司虛假陳述(shu)案(an)件(jian)(jian)(jian)和(he)創建特色(se)化證券(quan)(quan)糾紛調(diao)(diao)解(jie)模(mo)式(shi)、推進多(duo)元化解(jie)證券(quan)(quan)糾紛工作(zuo)方面取得了較大突破。投保(bao)(bao)基金(jin)(jin)公(gong)(gong)司與(yu)北(bei)(bei)京一中(zhong)院(yuan)(yuan)開創“賠償(chang)專用(yong)共管賬戶”調(diao)(diao)解(jie)模(mo)式(shi),取得良好的(de)(de)(de)成效。截(jie)至目(mu)前,共完成百余(yu)件(jian)(jian)(jian)支持輔助司法(fa)機關(guan)進行(xing)投資(zi)(zi)損失金(jin)(jin)額計(ji)算的(de)(de)(de)工作(zuo),完成474件(jian)(jian)(jian)示范判決下的(de)(de)(de)法(fa)院(yuan)(yuan)委(wei)托(tuo)調(diao)(diao)解(jie)案(an)件(jian)(jian)(jian),投資(zi)(zi)者訴請金(jin)(jin)額合(he)計(ji)超過6500萬(wan)元,較好實(shi)現(xian)了訴訟與(yu)非(fei)訴訟的(de)(de)(de)銜接。“賠償(chang)專用(yong)共管賬戶”模(mo)式(shi)也被(bei)北(bei)(bei)京市高級人民(min)法(fa)院(yuan)(yuan)確立為北(bei)(bei)京法(fa)院(yuan)(yuan)群體性證券(quan)(quan)糾紛案(an)件(jian)(jian)(jian)的(de)(de)(de)專門調(diao)(diao)解(jie)模(mo)式(shi)。
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