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Notice of the Supreme People's Court on Issuing the Several Opinions on Further Strengthening Financial Trials [Effective]
最高人民法院印发《关于进一步加强金融审判工作的若干意见》的通知 [现行有效]
【法宝引证码】

Notice of the Supreme People's Court on Issuing the Several Opinions on Further Strengthening Financial Trials 

最高人民法院印发《关于进一步加强金融审判工作的若干意见》的通知

(No. 22 [2017] of the Supreme People's Court) (法发[2017]22号)

The higher people's courts of all provinces, autonomous regions, and municipalities directly under the Central Government; the Military Court of the People's Liberation Army; and the Production and Construction Corps Branch of the Higher People's Court of Xinjiang Uygur Autonomous: 各省、自治区、直辖市高级人民法院,解放军军事法院,新疆维吾尔 自治区高级人民法院生产建设兵团分院:
The Several Opinions of the Supreme People's Court on Further Strengthening Financial Trials are hereby issued to you for your conscientious implementation. 现将《最高人民法院关于进一步加强金融审判工作的若干意见》印发给你们,请认真贯彻执行。
Supreme People's Court 最高人民法院
August 4, 2017 2017年8月4日
Several Opinions on Further Strengthening Financial Trials 关于进一步加强金融审判工作的若干意见
Finance is core competitiveness of the country, financial security is an important part of national security, and the financial system is a fundamental system in economic and social development. The following guiding opinions are hereby offered for purposes fully using the role of the financial trial function of the people's court and promoting sound economic and financial cycle and development. 金融是国家重要的核心竞争力,金融安全是国家安全的重要 组成部分,金融制度是经济社会发展中重要的基础性制度。为充 分发挥人民法院金融审判职能作用,促进经济和金融良性循环、健 康发展,现提出以下指导意见。
I. Unifying ideas, improving recognition, and studying and implementing in depth the spirit of the major speech delivered by General Secretary Xi Jinping at the National Financial Work Conference   一、统一思想,提高认识,深入学习贯彻习近平总书记在全国 金融工作会议上的重要讲话精神
The speech delivered by General Secretary Xi Jinping at the Fifth National Financial Work Conference is a scientific answer to the major theoretical and practical problems in China's financial reform, development and stability, is of the strong nature of ideas, guidance and practice, provides a fundamental principle for effectively conducting financial work under new conditions, and shows the direction of the financial trials of the people's court. The people's courts at all levels across the country shall study and implement in depth the spirit of the conference, effectively bring their thoughts and actions in line with the analysis and judgment of the situation of and decisions and arrangements with respect to the financial work made by CPC Central Committee with comrade Xi Jinping as the core, firmly adhere to the party's unified leadership of the financial work, closely center on the three tasks including serving the real economy, preventing and controlling financial risks, and deepening financial reforms, vigorously, soundly conduct financial trials, practically maintain national financial security, and promote positive cycle and sound development of economy and finance. 习近平总书记在第五次全国金融工作会议上发表的重要讲 话,科学回答了我国金融改革发展稳定中的重大理论和实践问题, 具有很强的思想性、指导性、实践性,为做好新形势下金融工作提 供了根本遵循,为人民法院金融审判工作指明了方向。全国各级 人民法院要深入学习贯彻会议精神,切实把思想和行动统一到以 习近平同志为核心的党中央对金融工作的形势分析判断和决策部 署上来,牢牢坚持党对金融工作的统一领导,紧紧围绕服务实体经 济、防控金融风险、深化金融改革三项任务,积极稳妥开展金融审 判工作,切实维护国家金融安全,促进经济和金融良性循环、健康 发展。
II. Setting the service for the real economy as the start point and foothold and guiding and regulating financial transactions   二、以服务实体经济作为出发点和落脚点,引导和规范金融交易
(1) Following the financial pattern and trying financial cases in accordance with the law. Various financial cases shall be tried in accordance with the law with the finance serving the real economy as the fundamental source of value. Financial transaction modes in conformity with laws and regulations, which is capable to reduce transaction cost and realize inclusive finance, shall be protected in accordance with the law. In relation to financial conduct contrary to regulations, which disguises financial risks, dodges financial regulation, or seeks profit by taking advantage of the system, with financial innovation, the effect of the conduct and the rights and obligations of each party shall be determined based on the legal relationship the conduct has constituted actually. Where illegal pooling of public deposits or fund-raising fraud in the name of financial innovation is criminally punishable, the offender shall be held criminally liable in accordance with the law. 1.遵循金融规律,依法审理金融案件。以金融服务实体经济 为价值本源,依法审理各类金融案件。对于能够实际降低交易成 本,实现普惠金融,合法合规的金融交易模式依法予以保护。对以 金融创新为名掩盖金融风险、规避金融监管、进行制度套利的金融 违规行为,要以其实际构成的法律关系确定其效力和各方的权利 义务。对于以金融创新名义非法吸收公众存款或者集资诈骗,构成犯罪的,依法追究刑事责任。
(2) Strictly, lawfully stipulating usury and effectively reducing the cost of financing in the real economy. A borrower to the financial lending contract who, on the grounds that the interest, compound interest, default interest, liquidated damages and other costs the lender demands are excessively high and conspicuously deviate from the actual loss, requests the reduction of the part exceeding the total calculated at the annual interest rate of 24% shall be supported to effectively reduce the cost of financing in the real economy. The order of private financing shall be regulated and guided, and the effect of contractual clauses in private financing dispute cases, which dodge the upper limit of private lending interest rate under judicial protection, such as advance deduction of principal or interest and high interest in disguise shall be denied in accordance with the law. 2.严格依法规制高利贷,有效降低实体经济的融资成本。金 融借款合同的借款人以贷款人同时主张的利息、复利、罚息、违约 金和其他费用过高,显著背离实际损失为由,请求对总计超过年利 率24%的部分予以调减的,应予支持,以有效降低实体经济的融 资成本。规范和引导民间融资秩序,依法否定民间借贷纠纷案件 中预扣本金或者利息、变相高息等规避民间借贷利率司法保护上 限的合同条款效力。
(3) Lawfully determining the legal effect of new types of securities and expanding the financing security modes of micro, small and medium-sized enterprises. The financing security modes of micro, small and medium-sized enterprises shall be increased and expanded, and except the circumstances of null contracts as specified in Article 52 of the Contract Law, the effect of new types of security contracts shall be determined to have effect in accordance with the law; if a contract conforms to the provisions on security interest in the Property Law, its effect with respect to real rights shall be determined in accordance with the law so as to enhance the capability of micro, small and medium-sized enterprises to raise funds and effectively ease the difficulties and high cost for them to do so. 3.依法认定新类型担保的法律效力,拓宽中小微企业的融资 担保方式。丰富和拓展中小微企业的融资担保方式,除符合合同 法五十二条规定的合同无效情形外,应当依法认定新类型担保 合同有效;符合物权法有关担保物权的规定的,还应当依法认定其 物权效力,以增强中小微企业融资能力,有效缓解中小微企业融资 难、融资贵问题。
(4) Regulating and promoting financing modes directly serving the real economy and expanding the channels connect the finance with the real economy. The financing mode integrating finance lease, factoring and other financial capital with the real economy shall be protected in accordance with the law, and financial capital shall be supported and guaranteed to serve the real economy. Where a contract is a financing lease or factoring contract in name but a lending contract in fact, the rights and obligations of each party shall be determined according to the lending contractual relationship actually constituted, so as to prevent parties from raising the cost of financing in the real economy in disguise by deducting rental or deposit in advance or any other means. 4.规范和促进直接服务实体经济的融资方式,拓宽金融对接 实体经济的渠道。依法保护融资租赁、保理等金融资本与实体经 济相结合的融资模式,支持和保障金融资本服务实体经济。对名 为融资租赁合同、保理合同,实为借款合同的,应当按照实际构成 的借款合同关系确定各方的权利义务,防范当事人以预扣租金、保 证金等方式变相抬高实体经济融资成本。
(5) Optimizing the rule of law environment of the multi-tier capital market system to satisfy diverse financial demands. Securities or futures civil and commercial disputes cases shall be tried in accordance with the law, the order of investment and financing on capital markets shall be regulated, and the allocation of more financial resources in the key fields and weak parts of economic and social development shall be guided, so as to meet the diverse financial demands of the real economy. 5. 优化多层次资本市场体系的法治环境,满足多样化金融需求。依法审理证券、期货民商事纠纷案件,规范资本市场投融资秩序,引导把更多金融资源配置到经济社会发展的重点领域和薄弱 环节,更好满足实体经济多样化的金融需求。
(6) Accurately applying the Insurance Law and promoting the use of the function of long-term sound risk management and guarantee of the insurance industry. Insurance contract dispute cases shall be properly tried to protect the interests of parties in accordance with the law. The essential functions of the insurance system shall be fully used, and natural disasters, accidents, legal liability, credit and other risks in the operation of the real economy shall be managed and pooled. The conduct of various market participants including parties to insurance contract disputes and insurance agents shall be regulated in accordance with the law, moral hazards of different parties shall be prevented, so as to develop an insurance honesty legal system. 6.准确适用保险法,促进保险业发挥长期稳健风险管理和保 障的功能。妥善审理保险合同纠纷案件,依法保障各方当事人利 益。充分发挥保险制度的核心功能,管理和分散实体经济运行中 的自然灾害、意外事故、法律责任以及信用等风险。依法规范保险 合同纠纷当事人、保险中介等各类市场主体行为,防范不同主体的 道德风险,构建保险诚信法治体系。
(7) Lawfully trying internet finance dispute cases and developing internet finance in a regulated manner. The specific legal relationships involved in internet finance shall be lawfully determined and thus used as a basis to determine the rights and obligations of each party. The brokerage contractual relationship between online lending information intermediary agencies and parties to online lending contracts shall be accurately delimited. The form of brokerage fee by which an online lending information intermediary agency and the lender dodge the provisions on judicial protection of the upper limit of private lending interest rates shall be determined to be null. Illegal criminal acts relating to or in the name of internet finance shall be strictly cracked down upon, so as to regulate and ensure the sound development of internet finance. 7.依法审理互联网金融纠纷案件,规范发展互联网金融。依 法认定互联网金融所涉具体法律关系,据此确定各方当事人的权 利义务。准确界定网络借贷信息中介机构与网络借贷合同当事人 之间的居间合同关系。网络借贷信息中介机构与出借人以居间费 用形式规避民间借贷利率司法保护上限规定的,应当认定无效。 依法严厉打击涉互联网金融或者以互联网金融名义进行的违法犯 罪行为,规范和保障互联网金融健康发展。
(8) Strengthening the research and tackling of new types of financial cases and unifying adjudicative standards. Great attention shall be paid to cases involving new types of financial transactions such as private equity investment, entrusted wealth management, and asset management, and the rights and obligation of each party shall be determined in strict accordance with the Contract Law, the Company Law, the Partnership Enterprise Law, the Trust Law and other laws and norms. Guiding cases shall be issued, and adjudicative standards shall be unified through similar-case guidance. 8.加强新类型金融案件的研究和应对,统一裁判尺度。高度 关注涉及私募股权投资、委托理财、资产管理等新类型金融交易的 案件,严格按照合同法公司法合伙企业法信托法等法律规范, 确定各方当事人的权利义务。发布指导性案例,通过类案指导,统 一裁判尺度。
(9) Lawfully governing the loan channel business of state-owned enterprises and preventing state-owned enterprises without financial qualifications from conducting financial business in disguise. Where a state-owned enterprise without financial qualifications conducts financial business in disguise by fraudulently obtaining the credit funds from financial institutions and lending the funds at a high interest rate, the legal effect of its act of lending shall be denied under Article 14 of the Provisions of the Supreme People's Court on Several Issues concerning the Application of Law in Trying Private Lending Cases, by offering judicial proposals to corresponding competent departments and other means, the loan channel business of state-owned enterprises shall be contained, and they shall be guided in returning to the real economy. 9.依法规制国有企业的贷款通道业务,防范无金融资质的国 有企业变相从事金融业务。无金融资质的国有企业变相从事金融 业务,套取金融机构信贷资金又高利转贷的,应当根据《最高人民 法院关于审理民间借贷案件适用法律若干问题的规定》第十四条的规定,依法否定其放贷行为的法律效力,并通过向相应的主管部 门提出司法建议等方式,遏制国有企业的贷款通道业务,引导其回归实体经济。
(10) Lawfully cracking down upon capital fixers and illegal criminal acts in financing to effectively rein in the financial order. Where, in private lending, an employee of a commercial bank who transfers loans at a high interest rate or transmits interests by colluding with an outsider, an employee of a financial institution who illegally grants loans, or a company or an enterprise which fabricates facts when applying for loans, conceals the truth to fraudulently obtain loans, or commits loan fraud, is criminally punishable, the offender shall be held criminally liable in accordance with the law. 10. 依法打击资金掮客和资金融通中的违法犯罪行为,有效规 范金融秩序。对于民间借贷中涉及商业银行工作人员内外勾结进 行高利转贷、利益输送,或者金融机构工作人员违法发放贷款,以 及公司、企业在申请贷款过程中虚构事实、隐瞒真相骗取贷款、实施贷款诈骗构成犯罪的,依法追究刑事责任。
III. Effectively preventing and solving financial risks and practically maintaining financial security   三、有效防范化解金融风险.切实维护金融安全
(11) Lawfully tackling "zombie enterprises" to promote economic de-leveraging. The building of bankruptcy trials, systems and mechanisms shall be strengthened, and the institutional function of bankruptcy procedures shall be fully used in legally dealing with "zombie enterprises." "Zombie enterprises" without market competitiveness or operation value shall be subjected to liquidation bankruptcy in a timely manner for them to leave the market in an orderly manner, in order to effectively reduce ineffective supply, resolve overcapacity, release factors of production, reduce corporate leverage ratios, and provide powerful judicial services and guarantees for deepening the supply-side structural reform. 11. 依法处置“僵尸企业”推动经济去杠杆。加强破产审判工 作和体制机制建设,充分发挥破产程序在依法处置“僵尸企业”中 的制度功能。对于已不具备市场竞争力和营运价值的“僵尸企 业”,及时进行破产清算,有序退出市场,切实减少无效供给、化解 过剩产能、释放生产要素、降低企业杠杆率,为深化供给侧结构性 改革提供有力的司法服务和保障。
(12) Fully using the rescue function of the bankruptcy reorganization system and promoting the revitalization of valuable enterprises in plight. The bankrupt enterprise identification mechanism shall be improved, and enterprises which are capable to adapt to market demand and have operating values though insolvent shall be rescued by comprehensively using bankruptcy reorganization or settlement system, so as to optimize resource allocation and revitalize enterprises. Market orientation shall be adhered to in the bankruptcy reorganization procedure, more importance shall be attached to business integration and asset restructuring in reorganization, and the power to compulsorily approve reorganization plans shall apply in strict accordance with the law and in a prudential manner. 12.充分发挥破产重整制度的拯救功能,促进有价值的危困企 业再生。健全完善破产企业识别机制,对于虽然丧失清偿能力,但 仍能适应市场需要、具有营运价值的企业,要综合运用破产重整、 和解制度手段进行拯救,优化资源配置,实现企业再生。破产重整 程序要坚持市场化导向,更加重视重整中的营业整合和资产重组, 严格依法审慎适用重整计划强制批准权。
(13) Vigorously preventing bankruptcy cases from causing financial risks and maintaining social stability. Bankruptcy cases which might lead to financial risks or affect social stability, particularly which involve mutual or chained securities, private finance or illegal fund-raising, shall be lawfully, prudentially handled, so as to avoid the occurrence of regional risks and mass events. The design of the bankruptcy system for listed companies, financial institutions and other particular entities shall be further improved so as to prevent individual cases from resulting in systematic financial risks. The act of maliciously escaping from financial obligations in the bankruptcy procedure shall be strictly reviewed. The means such as combined bankruptcy of related enterprises and exercise of the right to revoke bankruptcy and of the right of recovery shall apply to the search for and recovery of debtors' property in accordance with the law. One that performed such criminal act as concealing or intentional destroying accounting books or accounting vouchers and refusing to enforce court judgments or rulings shall be held criminally liable in accordance with the law. 13. 积极预防破产案件引发金融风险,维护社会稳定。依法审 慎处理可能引发金融风险、影响社会稳定的破产案件,特别是涉及 相互、连环担保以及民间融资、非法集资的企业破产案件,避免引 发区域性风险和群体性事件。进一步完善上市公司、金融机构等 特定主体的破产制度设计,预防个案引发系统性金融风险。严格 审查破产程序中的恶意逃废债务行为。依法适用关联企业合并破 产、行使破产撤销权和取回权等手段,查找和追回债务人财产。对 于隐匿、故意销毁会计账册、会计凭证,拒不执行法院判决、裁定等犯罪行为,依法追究刑事责任。
(14) Lawfully protecting financial claims and raising the efficiency of their realization. The act of escaping from financial obligations shall be clamped down upon in accordance with the law, and subjects and scope of responsibility shall be specified so as to effectively protect financial claims. Different procedures, such as ordinary procedure, summary procedure, special procedure, and supervision procedure, shall respectively apply according to the characteristics of specific financial lending contract dispute cases in order to raise trial efficiency. The role of notarial certificates with the effect of compulsory enforcement shall be effectively used to reduce the cost of realizing financial claims. 14. 依法保护金融债权,提升金融债权实现效率。依法打击逃 废金融债权的行为,明确责任主体和责任范围,切实保护金融债 权。根据具体金融借款合同纠纷案件的特点,分别适用普通程序、 简易程序、特别程序、督促程序等不同程序,提高审判效率。有效 发挥具有强制执行效力的公证书的作用,降低金融债权实现成本。
(15) Lawfully trying negotiable instrument dispute cases and properly resolving negotiable instrument risks. Financial risks which might arise out of illegal negotiable instrument financing conduct shall be conscientiously researched and tackled, and the Negotiable Instruments Law shall apply accurately in trying negotiable instrument dispute cases, in order to effectively prevent and contain negotiable instrument risks and promote safe and sound development of the negotiable instrument market. 15. 依法审理票据纠纷案件,妥善化解票据风险。认真研究应 对因违法票据融资行为可能引发的金融风险,准确适用票据法审 理票据纠纷案件,有效防范和遏制票据风险,促进票据市场安全稳 定发展。
(16) Lawfully trying non-performance financial obligation cases and ensuring the lawful tackling of non-performance financial obligations. The research of new situations and problems appearing in the process of tackling non-performance financial obligations under new conditions shall be strengthened, and adjudicatory standards shall be unified, so as to prompt the progress of market-oriented, law-based tackling of non-performance financial obligations. 16. 依法审理金融不良债权案件,保障金融不良债权依法处 置。加强研究新形势下金融不良债权处置过程中出现的新情况新 问题,统一裁判标准,促进金融不良债权处置的市场化、法治化进程。
(17) Constantly maintaining a tough stance in crackdown upon illegal fund-raising crimes to effectively maintain social stability. Illegal fund-raising cases shall be tried lawfully, equitably and efficiently, and the criminal act of illegal fund-raising shall be strictly cracked down upon. Based on the characteristics of illegal fund-raising crime cases including many participants, large amount of case-related money, wide range affected, and concentrated industries and regions, the exchange of information, coordination and cooperation with functional departments and local governments shall be enhanced, so as to improve tackling effect, practically safeguard the lawful rights and interests of victims, and effectively maintain social stability. 17. 持续保持对非法集资犯罪打击的高压态势,有效维护社会 稳定。依法公正高效审理非法集资案件,严厉打击非法集资犯罪 行为。针对非法集资犯罪案件参与人数多、涉案金额大、波及面 广、行业和区域相对集中的特点,加强与职能机关、地方政府的信 息沟通和协调配合,提升处置效果,切实保障被害人的合法权益, 有效维护社会稳定。
(18) Lawfully guaranteeing the stable and sound development of the real estate market and preventing the spread of the financial risks of the real estate market. Great importance shall be attached to the impact the fluctuations of the real estate market on financial claims, and relevant cases shall be lawfully, properly tried, in order to effectively prevent the potential risks of the real estate market from spreading and affecting financial stability and security. The adjudicatory standards for the effect of contracts for purchasing homes by borrowing another person' name or otherwise dodging the property limitation policy issued by the state shall be unified in order to guide properties in restoring their residential nature. 18.依法保障房地产市场平稳健康发展,防范房地产市场的金融风险传导。高度重视房地产市场波动对金融债权的影响,依法 妥善审理相关案件,有效防范房地产市场潜在风险对金融稳定和 金融安全的传导与冲击。统一借名买房等规避国家房产限购政策 的合同效力的裁判标准,引导房产交易回归居住属性。
(19) Lawfully, severely punishing securities criminal acts to maintain the order of the capital market. Cases of issuing stocks or bonds by fraud, disclosure in violation of regulations or non-disclosure of major information, insider trading, taking advantage of undisclosed information, and manipulating securities or futures markets shall be tried in accordance with the law in order to prevent and resolve the systematic risks of capital markets and promote the sustainable and sound development of capital markets. 19.依法严厉惩治证券犯罪行为,维护资本市场秩序。依法审 理欺诈发行股票、债券案件,违规披露、不披露重要信息案件,内幕 交易案件,利用未公开信息交易案件和操纵证券、期货市场案件, 防范和化解资本市场的系统性风险,促进资本市场的持续健康发 展。
(20) Strengthening judicial protection of civil rights and interests of investors and ensuring the property security of investors. Civil cases of false statements, insider trading and market manipulation in securities markets shall be tried in accordance with the law to protect the lawful rights and interests of securities investors. Securities investor protection bodies shall be supported in, as litigation representatives, being entrusted by investors with filing action or providing special legal services, in order to expand the modes for investors to defend their rights. A lawyer investigative demand system in the field of civil proceedings for securities tort shall be explored and established to improve the capability of investors to adduce evidence. The expert witness and expert juror system shall be fully used in accordance with the law to expand the capability of knowledge and depth of trial of securities cases and improve the professionalism and credibility of trials of securities cases. Financial product suppliers and service providers shall be guided in effectively performing their obligations of investor eligibility review, information disclosure and reveal of maximum loss, so as to lawfully protect the legitimate rights and interests of investors. 20.加强投资者民事权益的司法保护,维护投资者的财产安 全。依法审理证券市场虚假陈述、内幕交易、操纵市场的民事案 件,保障证券投资者的合法权益。支持证券投资者保护机构以诉 讼代表人的身份接受投资者委托提起诉讼或者提供专门法律服 务,拓展投资者维权方式。探索建立证券侵权民事诉讼领域的律 师调查令制度,提高投资者的举证能力。依法充分运用专家证人、 专家陪审员制度,扩充证券案件审理的知识容量和审理深度,提高 证券案件审判的专业性和公信力。引导金融产品提供者及服务提 供者切实履行投资者适当性审查义务、信息披露义务和最大损失 揭示义务,依法维护投资者的正当权益。
(21) Regulating and correcting illegal transaction acts in local trading venues and preventing and resolving regional financial risks. The legal effect of transactions conducted in violation of laws and regulations in local trading venues without authorization or beyond the licensed scope of business shall be denied in strict accordance with the prohibitive provisions of relevant laws and administrative regulations, and the civil liability of trading venues shall be specified. The connection between administrative tackling and judicial trials of cases relating to local trading venues shall be practically strengthened, so as to effectively prevent regional financial risks. 21.规范整治地方交易场所的违法交易行为,防范和化解区域 性金融风险。对地方交易场所未经许可或者超越经营许可范围开 展的违法违规交易行为,要严格依照相关法律和行政法规的禁止 性规定,否定其法律效力,明确交易场所的民事责任。切实加强涉 地方交易场所案件的行政处置工作与司法审判工作的衔接,有效 防范区域性金融风险。
(22) Lawfully trying debt dispute cases relating to local governments and preventing local government debt risks. The legal liability of the government for illegally giving security shall be determined in accordance with the law to regulate the conduct of the government. The nature, effect and responsibility of adjudicative action taken by or administrative agreements made by local governments to disguise borrowing by raising funds through platform companies, public-private partnership, investment funds, procurement of services, and other means shall be determined in accordance with the law, adjudicative rules shall be specified, and responsibilities shall be delimited, so as to effectively prevent the mounting of local government debt risks. 22.依法审理涉地方政府债务纠纷案件,防范地方政府债务风 险。依法认定政府违法提供担保的法律责任,规范政府行为。依 法认定地方政府利用平台公司融资、政府和社会资本合作(PPP)、 投资基金、购买服务等方式变相举债作出的行政行为或者签订的 行政协议的性质、效力和责任,明确裁判规则,划出责任边界,有效 防范地方政府债务风险的集聚。
(23) Lawfully trying foreign-related investment cases and strengthening the prevention and tackling of external financial risks. The research and tackling of financial security and risks issues of cross-border investment under the "Belt and Road" strategy shall be strengthened, and the legal effect of the act of cross-border investment by dodging the national foreign exchange control policy shall be accurately determined. 23.依法审理涉外投资案件,加强外部金融风险的防范应对。 加强对“一带一路”战略下跨境投资的金融安全与金融风险问题的 研究应对,准确认定规避国家外汇管制政策的跨境投资行为的法 律效力。
IV. Lawfully serving and guaranteeing financial reforms and establishing and improving new mechanisms meeting the demand of financial trials.   四、依法服务和保障金融改革,建立和完善适应金融审判工作需要的新机制
(24) Supporting financial regulators in lawfully performing their duties and supervising and prompting financial regulators to undertake administration by law. Financial regulators shall be protected in lawfully performing their regulatory duties in close cooperation with the requirements of financial reforms and adjustment of financial regulators. Various administrative cases involving financial regulators' administrative licensing and approval, handing down administrative penalties and handling, public disclosure of government information, non-performance of their statutory duties, and other aspects shall be lawfully tried so as to vigorously promote, supervise and support financial regulators in undertaking administration by law. 24.支持金融监管机构依法履职,监督和促进金融监管机构依 法行政。紧密配合金融改革和金融监管机构调整的要求,维护金 融监管机构依法履行监管职责。依法审理涉及金融监管机构履行 行政许可和审批、作出行政处罚和处理、公开政府信息及不履行法 定职责等方面的各类行政案件,积极推动、监督和支持金融监管机 构依法行政。
(25) Strengthening the coordination and cooperation with financial regulators and prompting the improvement of the financial legal system. A mechanism of communication between people's courts and financial regulators shall be explored and established, regular notice of the information on major cases involving financial risk prevention and financial security shall be given, and the connection and cooperation between financial regulation and financial trials shall be enhanced, in order to promote the formation of a unified, complete financial legal system. 25.加强与金融监管机构的协调配合,推动完善金融法治体 系。探索建立人民法院与金融监管机构之间的沟通机制,定期通 报涉及金融风险防范与金融安全的重要案件情况,强化金融监管 和金融审判的衔接配合,推动形成统一完善的金融法治体系。
(26) Effectively bringing in external resources and exploring and improving diversified dispute resolution mechanisms in financial cases. The successful experience of the action and mediation connection mechanism in the securities and futures industry and the insurance industry shall be promoted, and cooperation with relevant financial regulators, industry associations and investor protection bodies shall be conducted to use the advantages of specialized resources to prevent and resolve financial disputes. The channels for parties to express appeals and remedy rights shall be further maintained unimpeded, and the lawful, equitable and efficient resolution of financial disputes shall be promoted by appointed mediation before and after case docketing and other means in order to effectively safeguard the lawful rights and interests of each party. 26.有效引入外部资源,探索完善金融案件的多元化纠纷解决 机制。推广证券期货行业、保险行业的诉讼与调解对接机制的成 功经验,联合相关金融监管机构、行业协会和投资者保护机构,发
 挥专业资源优势,防范和化解金融纠纷。进一步畅通当事人的诉 求表达和权利救济渠道,通过立案前委派调解、立案后委托调解等 方式,促进金融纠纷依法、公正、高效解决,有效维护各方当事人的 合法权益。
(27) Establishing a financial trial information platform and constantly raising the information-driven level of financial trials. Based on the building of "smart courts," a financial trial information platform shall be explored and established, and a civil and commercial case information administration system with financial institutions as parties shall be researched and established, in order to instantaneously reflect the action-related information of financial institutions. A major financial case information special report system shall be established to research response measures in a timely manner and effectively prevent the spread and expansion of financial risks. Judicial big data shall be fully mined and used to strengthen the administration, analysis and judgment of financial cases, financial trial big data analysis reports shall be regularly formed, and universal, trend legal issues shall be researched and solved, to provide information support for the prevention, early warning and major decision making of regional, industrial and systematic financial risks. 
 27.建立金融审判信息平台,不断提升金融审判的信息化水 平。结合“智慧法院”建设,探索建立金融审判信息平台,研究建立 以金融机构为当事人的民商事案件信息管理系统,实时反映金融 机构涉诉信息。建立重大金融案件的信息专报制度,及时研究应 对措施,有效防范金融风险的传导和扩大。充分挖掘运用司法大 数据,加强对金融案件的审判管理和分析研判,定期形成金融审判 大数据分析报告,研究解决具有普遍性、趋势性的法律问题,为区 域性、行业性、系统性金融风险的防范预警和重大决策提供信息支 持。
V. Strengthening judicial capability building and constantly raising the professional level of financial trials 
   五、加强司法能力建设,不断提升金融审判的专业化水平
(28) Exploring and establishing specialized financial adjudicative bodies based on the characteristics of financial cases. Some courts in regions with financial cases concentrated shall be selected to establish financial tribunals based on the distribution of financial institutions and the number of financial cases, and concentrated jurisdiction of financial cases shall be explored and implemented. At intermediate people's courts with many other financial cases, specialized financial tribunals or financial trial collegial panels shall be set up according to the situation of cases. 
 28.根据金融案件特点,探索建立专业化的金融审判机构。根 据金融机构分布和金融案件数量情况,在金融案件相对集中的地 区选择部分法院设立金融审判庭,探索实行金融案件的集中管辖。 在其他金融案件较多的中级人民法院,可以根据案件情况设立专 业化的金融审判庭或者金融审判合议庭。
(29) Strengthening the building of specialization of financial trial teams to provide talent guarantees for financial trials. The financial trial teams of the people's courts at all levels shall be reinforced, professional financial trial talent fostering mechanisms such as exchange with and assumption of provisional offices at financial regulators and jointly conducting business exchange, among others, shall be improved, special financial trial training shall be provided in a targeted manner, and a quality financial trial team having an understanding of the law and finance shall be built with efforts, so as to constantly raise the level of specialization of financial trials. 
 29.加强金融审判队伍的专业化建设,为金融审判提供人才保 障。充实各级人民法院的金融审判队伍,完善与金融监管机构交 流挂职、联合开展业务交流等金融审判专业人才的培养机制,有针 对性地开展金融审判专题培训,努力造就一支既懂法律、又懂金融 的高素质金融审判队伍,不断提升金融审判的专业化水平。
(30) Strengthening research of financial justice and promoting the in-depth integration of financial legal theories and financial trial practice. The cooperation with academic organizations and institutions of higher learning shall be strengthened, and the research of the theories on financial trials shall be conducted in depth so as to provide talent support for financial trials. 
 30.加强金融司法研究,推动金融法治理论与金融审判实践的深度融合。加强与学术机构、高等院校的合作,围绕金融审判实务 问题,深入开展金融审判的理论研究,为金融审判提供智力支持。
     
     
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