| Provisions of the Shanghai Financial Court on the Model Judgment Mechanism for Securities Disputes (For Trial Implementation) | | 上海金融法院关于证券纠纷示范判决机制的规定（试行） |
| (Discussed and adopted on the first meeting of the Judicial Committee of the Shanghai Financial Court on January 6, 2019) | | （2019年1月6日上海金融法院审判委员会第1次会议讨论通过） |
| Chapter I General Provisions | | 第一章 总 则 |
| Article 1 For purposes of properly resolving the group securities disputes, protecting the lawful rights and interests of the parties concerned, effectively settling the disputes in a timely manner, and seeking to establish a model judgment mechanism, the Provisions are developed in consideration of the actual trials of the Shanghai Financial Court (“the Court”) in accordance with the Civil Procedure Law of the People's Republic of China, the Interpretation of the Supreme People's Court on the Application of the Civil Procedure Law of the People's Republic of China, the Several Opinions of the Supreme People's Court on Further Promoting the Efficient Distribution of Complex and Simple Cases and Optimizing the Allocation of Judicial Resources, and the Opinions of the Supreme People's Court and the China Securities Regulatory Commission on Comprehensively Advancing Establishment of Diversified Resolution Mechanism of Securities and Futures Disputes. | | 第一条 为妥善处理群体性证券纠纷，维护当事人的合法权益，实现纠纷的及时有效化解，探索建立示范判决机制。根据《中华人民共和国民事诉讼法》《最高人民法院关于适用〈中华人民共和国民事诉讼法〉的解释》《最高人民法院关于进一步推进案件繁简分流、优化司法资源配置的若干意见》《最高人民法院、中国证券监督管理委员会关于全面推进证券期货纠纷多元化解机制建设的意见》等，结合本院审判工作实际，制定本规定。 |
| Article 2 A model judgment mechanism means a dispute resolution mechanism in which the Court, in handling the group securities disputes, selects certain typical cases, and gives priority to hearing and deciding them so as to harness the leading role of the model cases and properly resolve the disputes in parallel cases. | | 第二条 示范判决机制是指本院在处理群体性证券纠纷中，选取具有代表性的案件先行审理、先行判决，通过发挥示范案件的引领作用，妥善化解平行案件的纠纷解决机制。 |
| A group securities dispute means a securities dispute in which the subject matter of action for co-litigants is of the same kind and either party concerned has a total of more than ten co-litigants. | | 群体性证券纠纷是指诉讼标的为同一种类且同一方当事人累计人数为十人以上的证券纠纷。 |
| A model case means a typical case in the group securities disputes. | | 示范案件是指群体性证券纠纷中具有代表性的案件。 |
| A parallel case means a case having common factual issues and legal issues with a model case in the group securities disputes. | | 平行案件是指群体性证券纠纷中与示范案件有共通的事实争点和法律争点的案件。 |
| Article 3 Through the arrangements for the procedures of hearing a case, the model judgment mechanism unifies the application of law in the group securities disputes, improves the efficiency in hearing a case, saves the judicial resources, reduces the litigation costs, and promotes the resolution of conflicts. | | 第三条 示范判决机制通过审理程序安排，实现群体性证券纠纷的适法统一，提升审判效率，节约司法资源，降低诉讼成本，促进矛盾化解。 |
| Article 4 The Provisions shall apply to any group redress disputes caused by false statements, insider trading or manipulation of the securities trading market within the jurisdiction of the Court. | | 第四条 凡属于本院管辖范围，因证券市场虚假陈述、内幕交易、操纵市场等行为引发的民事赔偿群体性纠纷，适用本规定。 |
| Other group financial and commercial disputes may be handled by reference to the Provisions. | | 其他群体性金融商事纠纷可以参照本规定处理。 |
| Chapter II Selection of a Model Case | | 第二章 示范案件的选定 |
| Article 5 A model case selected shall meet the following requirements: | | 第五条 选定的示范案件需同时具备以下条件： |
| 1. having the common factual issues and legal issues in the group securities disputes; | | （一）具有群体性证券纠纷共通的事实争点和法律争点； |
| 2. having representative and typical factual issues and legal issues; and | | （二）案件的事实争点和法律争点具有代表性； |
| 3. being applied for not in an attempt to delay litigation. | | （三）示范案件的申请非因拖延诉讼的目的而提出。 |
| Article 6 If, in the group securities disputes, a lawsuit is supported by a government agency or a social welfare organization established according to law and meets the selection requirements, it shall be given priority in the selection of a model case. | | 第六条 群体性证券纠纷中由国家机关或依法设立的公益性组织机构支持诉讼且符合示范案件选定条件的，优先选定作为示范案件。 |
| Article 7 A model case may be selected at the request of either party concerned or by the Court ex officio. | | 第七条 示范案件可以依任何一方当事人的申请或者本院依职权选定。 |
| Article 8 The request of a party to select a model case shall be submitted in writing before trial in court at first instance. | | 第八条 当事人选定示范案件的申请，应以书面形式于一审开庭审理前提出。 |
| Article 9 The request document shall include the following contents: | | 第九条 示范案件的申请书应当包含以下内容： |
| 1. common factual issues and legal issues of the case; | | （一）申请案件具备共通的事实和法律争点； |
| 2. factual basis, legal grounds and other evidences of the case; and | | （二）申请案件的事实依据、法律理由及相关证据； |
| 3. significance as a typical case. | | （三）申请案件的代表意义。 |
| Article 10 In a model case, not only should the dispute between the parties concerned be resolved, the common factual issues and legal issues in the group securities disputes shall be reviewed. In determining the common factual issues and legal issues, the opinions of the parties concerned shall be sought. | | 第十条 示范案件除解决本案当事人之间的争议外，应着重审查群体性证券纠纷中共通的事实和法律争点。共通的事实争点和法律争点的确定应当征求当事人的意见。 |
| Article 11 After a model case is selected at the request of a party concerned or by the Court ex officio, the collegial panel shall notify the parties of the model case and parallel cases of the selection result, common issues, scope of parallel cases and the rights and obligations of the parties concerned. | | 第十一条 经当事人申请或本院依职权选定示范案件后，合议庭应当将示范案件的选定结果、共通争点、平行案件的范围及当事人的权利义务告知示范案件和平行案件的当事人。 |
| Article 12 If, after a model case is selected, the defendant raises an objection to the court jurisdiction, which has been confirmed by a valid ruling, over a securities dispute based on the same ground, the Court shall not accept the objection after explaining the reasons. | | 第十二条 示范案件选定后，群体性证券纠纷中已有生效裁定确认本院有管辖权，被告在示范案件或平行案件中以相同理由提出管辖权异议的，本院释明后不再处理。 |
| Article 13 After a model case is selected, the hearing of parallel cases may be suspended. | | 第十三条 |
| Article 14 After a model case is selected and before a model judgment comes into force, the Court shall, based on the free wills of the parties, guide them in any new case related to the group securities dispute to reach a mediation agreement before the lawsuit is filed and registered. | | 第十四条 示范案件选定后至示范判决生效前，所涉群体性证券纠纷的后续案件，在征求当事人意愿的基础上，引导当事人在诉讼立案登记前先行调解。 |
| If the parties concerned reach a mediation agreement through the mediation authorized by the Court and request a judicial confirmation, the Court shall accept it according to law. | | 经本院委派调解，当事人达成调解协议后请求司法确认的，由本院依法受理。 |
| If the parties concerned are unwilling to settle the dispute through mediation, the dispute shall be handled in the following ways: | | 当事人不愿意先行调解的，按照以下方式处理： |
| 1. If the parties concerned agree to suspend the case filing, the Court may return the lawsuit materials after registering the names of the parties filing the lawsuit, the date of the filing, and other information for recordation. | | （一）当事人同意暂缓立案的，本院可以将申请起诉的当事人名称、日期等相关信息登记备案后，退回起诉材料； |
| 2. If the parties concerned insist on filing a lawsuit, the Court shall register it for recordation and check if the lawsuit can be included in the scope of parallel cases. | | （二）当事人坚持立案的，本院予以登记立案，并审查是否可以列入平行案件范围。 |
Chapter III Hearing of a Model Case
．．．．．． | | 第三章 示范案件的审理
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