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An Application Expert System for Evaluating Effective Factors on Trust in B2C WebsitesTrust, Security, ANFIS, Fuzzy Logic, Rule Based Systems, Electronic Commerce 被引量:4
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作者 Mehrbakhsh Nilashi Karamollah Bagherifard +2 位作者 Othman Ibrahim Nasim Janahmadi Mousa Barisami 《Engineering(科研)》 2011年第11期1063-1071,共9页
In new environments of trading, customer's trust is vital for the extended progress and development of electronic commerce. This paper proposes that in addition to known factors of electronic commerce B2C websites... In new environments of trading, customer's trust is vital for the extended progress and development of electronic commerce. This paper proposes that in addition to known factors of electronic commerce B2C websites such a design of websites, security of websites and familiarity of website influence customers trust in online transactions. This paper presents an application of expert system on trust in electronic commerce. Based on experts’ judgment, a frame of work was proposed. The proposed model applies ANFIS and Mamdani inference fuzzy system to get the desired results and then results of two methods were compared. Two questionnaires were used in this study. The first questionnaire was developed for e-commerce experts, and the second one was designed for the customers of electronic websites. Based on AHP method, Expert Choice software was used to determine the priority of factors in the first questionnaire, and MATLAB and Excel were used for developing the fuzzy rules. Finally, the fuzzy logical kit was used to analyze the generated factors in the model. Our study findings show that trust in EC transactions is strongly mediated by perceived security. 展开更多
关键词 TRUST securITY ANFIS Fuzzy Logic rule Based Systems Electronic COMMERCE
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Knowledge Discovering in Corporate Securities Fraud by Using Grammar Based Genetic Programming
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作者 Hai-Bing Li Man-Leung Wong 《Journal of Computer and Communications》 2014年第4期148-156,共9页
Securities fraud is a common worldwide problem, resulting in serious negative consequences to securities market each year. Securities Regulatory Commission from various countries has also attached great importance to ... Securities fraud is a common worldwide problem, resulting in serious negative consequences to securities market each year. Securities Regulatory Commission from various countries has also attached great importance to the detection and prevention of securities fraud activities. Securities fraud is also increasing due to the rapid expansion of securities market in China. In accomplishing the task of securities fraud detection, China Securities Regulatory Commission (CSRC) could be facilitated in their work by using a number of data mining techniques. In this paper, we investigate the usefulness of Logistic regression model, Neural Networks (NNs), Sequential minimal optimization (SMO), Radial Basis Function (RBF) networks, Bayesian networks and Grammar Based Genet- ic Programming (GBGP) in the classification of the real, large and latest China Corporate Securities Fraud (CCSF) database. The six data mining techniques are compared in terms of their performances. As a result, we found GBGP outperforms others. This paper describes the GBGP in detail in solving the CCSF problem. In addition, the Synthetic Minority Over-sampling Technique (SMOTE) is applied to generate synthetic minority class examples for the imbalanced CCSF dataset. 展开更多
关键词 KNOWLEDGE DISCOVERING rule Induction Token Competition SMOTE CORPORATE securities FRAUD Detection Grammar-Based Genetic Programming
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The Application of Weighted Association Rules in Host-Based Intrusion Detection System 被引量:1
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作者 曹元大 薛静锋 《Journal of Beijing Institute of Technology》 EI CAS 2002年第4期418-421,共4页
Association rules are useful for determining correlations between items. Applying association rules to intrusion detection system (IDS) can improve the detection rate, but false positive rate is also increased. Weight... Association rules are useful for determining correlations between items. Applying association rules to intrusion detection system (IDS) can improve the detection rate, but false positive rate is also increased. Weighted association rules are used in this paper to mine intrustion models, which can increase the detection rate and decrease the false positive rate by some extent. Based on this, the structure of host-based IDS using weighted association rules is proposed. 展开更多
关键词 network security intrusion detection system association rules WEIGHT
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基于AI的多模态融合感知综合决策系统设计实现
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作者 冯晓辉 艾润 +1 位作者 刘林青 眭臻 《现代电子技术》 北大核心 2025年第1期173-178,共6页
针对传统军事要地安防系统智能化程度较低,各自独立互不关联,缺少顶层数据综合治理等问题,选取外围周界、重要卡口、无人巡更和区域高点四种典型安防业务场景开展建模,通过数据标准化接入、智能研判分析、安防态势显示三个处理环节,构... 针对传统军事要地安防系统智能化程度较低,各自独立互不关联,缺少顶层数据综合治理等问题,选取外围周界、重要卡口、无人巡更和区域高点四种典型安防业务场景开展建模,通过数据标准化接入、智能研判分析、安防态势显示三个处理环节,构建基于AI的多模态融合感知综合决策系统,实现前端感知多维化、中台研判智能化、后端处置多样化,有效支撑了重要军事目标安全防卫,系统后续也具有良好的可扩展性与可维护性。 展开更多
关键词 要地防卫 多模态数据融合 场景建模 规则定制 感知处置决策 智能化安防系统
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A Hybrid Method of Coreference Resolution in Information Security 被引量:1
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作者 Yongjin Hu Yuanbo Guo +1 位作者 Junxiu Liu Han Zhang 《Computers, Materials & Continua》 SCIE EI 2020年第8期1297-1315,共19页
In the field of information security,a gap exists in the study of coreference resolution of entities.A hybrid method is proposed to solve the problem of coreference resolution in information security.The work consists... In the field of information security,a gap exists in the study of coreference resolution of entities.A hybrid method is proposed to solve the problem of coreference resolution in information security.The work consists of two parts:the first extracts all candidates(including noun phrases,pronouns,entities,and nested phrases)from a given document and classifies them;the second is coreference resolution of the selected candidates.In the first part,a method combining rules with a deep learning model(Dictionary BiLSTM-Attention-CRF,or DBAC)is proposed to extract all candidates in the text and classify them.In the DBAC model,the domain dictionary matching mechanism is introduced,and new features of words and their contexts are obtained according to the domain dictionary.In this way,full use can be made of the entities and entity-type information contained in the domain dictionary,which can help solve the recognition problem of both rare and long entities.In the second part,candidates are divided into pronoun candidates and noun phrase candidates according to the part of speech,and the coreference resolution of pronoun candidates is solved by making rules and coreference resolution of noun phrase candidates by machine learning.Finally,a dataset is created with which to evaluate our methods using information security data.The experimental results show that the proposed model exhibits better performance than the other baseline models. 展开更多
关键词 Coreference resolution hybrid method ruleS BiLSTM-Attention-CRF information security
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A New Model for Network Security Situation Assessment of the Industrial Internet 被引量:1
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作者 Ming Cheng Shiming Li +3 位作者 Yuhe Wang Guohui Zhou Peng Han Yan Zhao 《Computers, Materials & Continua》 SCIE EI 2023年第5期2527-2555,共29页
To address the problem of network security situation assessment in the Industrial Internet,this paper adopts the evidential reasoning(ER)algorithm and belief rule base(BRB)method to establish an assessment model.First... To address the problem of network security situation assessment in the Industrial Internet,this paper adopts the evidential reasoning(ER)algorithm and belief rule base(BRB)method to establish an assessment model.First,this paper analyzes the influencing factors of the Industrial Internet and selects evaluation indicators that contain not only quantitative data but also qualitative knowledge.Second,the evaluation indicators are fused with expert knowledge and the ER algorithm.According to the fusion results,a network security situation assessment model of the Industrial Internet based on the ER and BRB method is established,and the projection covariance matrix adaptive evolution strategy(P-CMA-ES)is used to optimize the model parameters.This method can not only utilize semiquantitative information effectively but also use more uncertain information and prevent the problem of combinatorial explosion.Moreover,it solves the problem of the uncertainty of expert knowledge and overcomes the problem of low modeling accuracy caused by insufficient data.Finally,a network security situation assessment case of the Industrial Internet is analyzed to verify the effectiveness and superiority of the method.The research results showthat this method has strong applicability to the network security situation assessment of complex Industrial Internet systems.It can accurately reflect the actual network security situation of Industrial Internet systems and provide safe and reliable suggestions for network administrators to take timely countermeasures,thereby improving the risk monitoring and emergency response capabilities of the Industrial Internet. 展开更多
关键词 Industrial internet network security situation assessment evidential reasoning belief rule base projection covariance matrix adaptive evolution strategy
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Rule Extraction in Transient Stability Study Using Linear Decision Trees 被引量:11
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作者 SUN Hongbin WANG Kang ZHANG Boming ZHAO Feng 《中国电机工程学报》 EI CSCD 北大核心 2011年第34期I0006-I0006,8,共1页
为了提高精细规则的性能,提出一种基于支持样本的线性决策树的规则提取方法。该方法筛选临近稳定边界的支持样本,作为决策树的输入样本,精简了样本数目;提出基于线性分类器的决策树方法,以得到基于组合属性的安全稳定运行规则。在单机... 为了提高精细规则的性能,提出一种基于支持样本的线性决策树的规则提取方法。该方法筛选临近稳定边界的支持样本,作为决策树的输入样本,精简了样本数目;提出基于线性分类器的决策树方法,以得到基于组合属性的安全稳定运行规则。在单机无穷大系统和IEEE 39节点系统中的对比研究表明:由于考虑了支持样本的特殊性,用线性组合规则代替单属性规则,减少了计算时间,提高了泛化能力,丰富了规则的物理含义,得到的灵敏度信息可用于辅助决策,在安全稳定精细规则提取中具有应用潜力。 展开更多
关键词 英文摘要 内容介绍 编辑工作 期刊
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China introduces the 24-hour rule
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作者 Bergami Roberto 《Chinese Business Review》 2009年第3期1-7,共7页
Recently, international movement measures that may be causing tension between the of cargo had been the subject of increasing border control needs for security and the needs for trade facilitations. On the one hand cu... Recently, international movement measures that may be causing tension between the of cargo had been the subject of increasing border control needs for security and the needs for trade facilitations. On the one hand customs authorities are charged with the responsibility for policing a country's borders, and consequently they need to have in place measures to ensure that only legitimate trade takes place and that this trade does not present security concerns. On the other hand we have the requirements of traders, who benefit from an environment of trade facilitation with speedy and efficient movement of cargo across international borders, with minimal bureaucratic intervention. This paper focuses on and provides early discussion and comments on the possible ramifications of the introduction of the 24-hour rule in China, effective for all exports and imports of sea freight container traffic since January 1, 2009. The new rules will have significant impact on the logistics flows of exporters and importers alike. Specifically, the reporting requirements timelines are likely to result in increased costs in cargo processing at wharves that traders will have to bear; place added pressure on storage facilities at wharves, or at container depots; and may additionally increase the amount of inventory buffer because of the timing of the data reporting requirements. The paper concludes that security needs have prevailed over trade facilitation considerations and that traders should urgently implement a review of existing practices to ensure they comply with the China Customs requirements, whilst simultaneously minimizing cost increases. 展开更多
关键词 24-hour rule cargo security ANTI-TERRORISM international regulations China Customs
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Challenges and Rules in Third Age of Space
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作者 Guo Xiaobin +1 位作者 Huang Jianyu Zhai Yucheng 《Contemporary World》 2022年第2期36-39,共4页
As the space gradually becomes a multi-polar and industrialized battlefield, we human beings are entering Space 3.0. In this new era, existing international rules on space arms control can no longer effectively addres... As the space gradually becomes a multi-polar and industrialized battlefield, we human beings are entering Space 3.0. In this new era, existing international rules on space arms control can no longer effectively address increasing security risks such as arms races, armed conflicts, collisions of space objects and competition for space resources. We need more than ever to achieve consensus on space security in the new era to build new space security order. 展开更多
关键词 ruleS order. securITY
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A Design of the Network Security Evaluation System
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作者 Ziyan Shi Guolin Zhao Qiaolin Hu 《International Journal of Technology Management》 2014年第9期103-105,共3页
The security evaluation for an information network system is an important management tool to insure its normal operation. We must realize the significance of the comprehensive network security risks. A network evaluat... The security evaluation for an information network system is an important management tool to insure its normal operation. We must realize the significance of the comprehensive network security risks. A network evaluation model and the algorithm are presented and adapt the hierarchical method to characterize the security risk situation. The evaluation method is used to evaluate the key nodes and the mathematics is used to analyze the whole network security situation. Compared with others, the method can automatically create a rule-based security evaluation model to evaluate the security threat from the individual security elements and the combination of security elements, and then evaluation the network situation. It is shown that this system provides a valuable model and algorithms to help to find the security rules, adjust the security 展开更多
关键词 security Evaluation security rules Evaluation Algorithm
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我国重要数据认定制度的探索与完善 被引量:2
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作者 刘金瑞 《中国应用法学》 CSSCI 2024年第1期189-200,共12页
重要数据认定是国家数据安全监管的基础性制度,明确该制度是维护国家数据安全的必然要求,是落实数据安全保护义务的客观需要,也是促进数据要素价值释放的重要举措。对此,我国相关配套规定和国家标准进行了积极探索,从早期尝试列举重要... 重要数据认定是国家数据安全监管的基础性制度,明确该制度是维护国家数据安全的必然要求,是落实数据安全保护义务的客观需要,也是促进数据要素价值释放的重要举措。对此,我国相关配套规定和国家标准进行了积极探索,从早期尝试列举重要数据具体范围,到目前已转向规定重要数据认定规则,但尚未形成明确统一的规则体系。完善我国重要数据认定制度,要在厘清重要数据概念的基础上,构建基于风险的认定规则体系,主要包括明确重要数据认定的领导体制、细化重要数据认定的条件标准、厘清重要数据认定的疑难界分以及健全重要数据认定的程序机制。 展开更多
关键词 重要数据 认定规则 认定程序 数据安全 国家安全
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数据要素市场化配置的法治推进——兼论《数据二十条》相关条款设计 被引量:9
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作者 陈兵 《上海大学学报(社会科学版)》 CSSCI 北大核心 2024年第1期1-13,共13页
数据要素市场化配置的程度与水平决定了充分释放数据要素动能的程度,对加快数据产业链、价值链重构与转型升级意义重大。数据要素市场化配置的前提是明确数据产权归属,基础是构建统一开放的数据要素市场,发展是健全高效的定价机制,底线... 数据要素市场化配置的程度与水平决定了充分释放数据要素动能的程度,对加快数据产业链、价值链重构与转型升级意义重大。数据要素市场化配置的前提是明确数据产权归属,基础是构建统一开放的数据要素市场,发展是健全高效的定价机制,底线是保障数据要素安全发展。我国虽已明确了数据这一新型生产要素的重要地位,但相关法律尚未明确数据的产权归属,全国统一的数据要素市场尚未建立,数据要素定价机制尚未明确,数据要素市场交易与监管的边界也尚未清晰,所有这些阻碍了数据要素市场化配置的充分实现。故需立足数据要素市场的特征与现实,以数据产权结构性分置制度促进数据动态权属流动,构建统一开放的数据要素交易市场机制,同时厘清数据监管边界,保障数据要素市场安全发展,实现数据要素高水平、高质量、高效率的市场化配置。 展开更多
关键词 数据要素市场化配置 《数据二十条》 数据权属 数据安全 法治推进
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行为经济学视角下担保型以物抵债的界定 被引量:3
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作者 汪洋 刘冲 《云南社会科学》 CSSCI 北大核心 2024年第1期13-23,共11页
《合同编通则司法解释》所采取的“债务履行期届满前/后”之标准无法清楚界定担保型以物抵债。界定担保型以物抵债的意义在于准确适用流担保禁止规则,无法清楚界定的深层次原因在于对流担保禁止规则的正当性基础存在认识偏差。从行为经... 《合同编通则司法解释》所采取的“债务履行期届满前/后”之标准无法清楚界定担保型以物抵债。界定担保型以物抵债的意义在于准确适用流担保禁止规则,无法清楚界定的深层次原因在于对流担保禁止规则的正当性基础存在认识偏差。从行为经济学和心理学的研究来看,流担保禁止规则的正当性基础应当是避免债务人因过度自信和盲目乐观而受损。从这个角度出发,可以对以物抵债协议进行再类型化:若债务人最终给付内容不是由其的履行能力决定,或债务人最终给付内容的不确定不会对其造成损失,则以物抵债协议不需要被限制;在其他情况下,有必要对以物抵债协议的效力予以限制。若当事人存在担保的意思,则应通过流担保禁止规则限制以物抵债协议的效力,否则就适用违约金酌减规则。 展开更多
关键词 《合同编通则司法解释》 行为经济学 担保型以物抵债 流担保禁止规则 违约金酌减规则
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国家金融安全视域下金融科技的风险应对与法治保障 被引量:2
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作者 郭雳 《现代法学》 CSSCI 北大核心 2024年第3期21-33,共13页
在数字化时代,科技深度赋能金融服务的同时,也易引发国家金融安全风险,包括与传统金融活动结合、构建新型金融网络系统及新兴科技直接应用等场景。金融科技引发国家安全风险的生成机理在于,随着金融体系的中介类型增多、金融风险传导渠... 在数字化时代,科技深度赋能金融服务的同时,也易引发国家金融安全风险,包括与传统金融活动结合、构建新型金融网络系统及新兴科技直接应用等场景。金融科技引发国家安全风险的生成机理在于,随着金融体系的中介类型增多、金融风险传导渠道增加,新金融网络体系会产生基于“关联”的风险。金融科技“破坏性创新”的特征,会从金融监管立法与实施两个方面冲击传统金融监管框架,从而加剧监管失灵。国家金融安全的法治保障亟须理论层面的反思与重构,进而形成金融科技的“动态协同”治理模式,从外层金融网络与基础设施安全、中层金融科技创新活动和内层金融服务行为三个层面,构建多层次的金融科技法治保障体系。 展开更多
关键词 金融科技 国家金融安全 数据治理和保护 金融法治 动态协同模式
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基于博弈的Web应用程序中访问控制漏洞检测方法 被引量:1
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作者 何海涛 许可 +3 位作者 杨帅林 张炳 赵宇轩 李嘉政 《通信学报》 EI CSCD 北大核心 2024年第6期117-130,共14页
针对工业互联网中程序的访问控制策略隐藏在源码中难以提取,以及用户的访问操作难以触发所有访问路径而导致逻辑漏洞的通用化检测难以实现的问题,将博弈思想应用于访问控制逻辑漏洞检测中,通过分析不同参与者在Web应用程序中对资源页面... 针对工业互联网中程序的访问控制策略隐藏在源码中难以提取,以及用户的访问操作难以触发所有访问路径而导致逻辑漏洞的通用化检测难以实现的问题,将博弈思想应用于访问控制逻辑漏洞检测中,通过分析不同参与者在Web应用程序中对资源页面的博弈结果来识别漏洞,使得不同用户的访问逻辑能被有针对性地获取。实验结果表明,所提方法在开源的11个程序中检测出31个漏洞,其中8个为未公开的漏洞,漏洞检测覆盖率均超过90%。 展开更多
关键词 Web应用程序安全 漏洞检测 访问控制漏洞 访问控制策略 博弈
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全球空间安全治理视域下临近空间飞行监管研究 被引量:2
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作者 张超汉 胡熳馨 《太平洋学报》 CSSCI 北大核心 2024年第1期1-16,共16页
临近空间作为全球一体化的重要连接点,是实现长期驻空侦察、全球精准打击的军事战略高点。受空天划界论争的影响,临近空间飞行的监管规则仍依附于国内立法,在国际层面尚未实现有效规制和协调。在临近空间法律地位不清、监管主体不明、... 临近空间作为全球一体化的重要连接点,是实现长期驻空侦察、全球精准打击的军事战略高点。受空天划界论争的影响,临近空间飞行的监管规则仍依附于国内立法,在国际层面尚未实现有效规制和协调。在临近空间法律地位不清、监管主体不明、监管客体不定、监管内容复杂、飞行活动存有争议的情况下,现有国际航空航天法律制度已无法满足调整此类新型利益关系的实践需要。构建针对性的监管制度不仅是行业有序发展的基础,也是确保地面国国防安全和临近空间资源有序开发利用的重要保障。在国内立法层面,中国可参鉴《临近空间管制公约(草案)》的相关条款,积极推进临近空间融入航空法或航天法的制度设计,或制定单行的临近空间法,以国内立法引领国际立法;在国际立法层面,应以国际民用航空组织为主导,通过修订《国际民用航空公约》(又称《芝加哥公约》)相关附件或增设临近空间飞行的新附件标准,推进国际统一规则的构建。 展开更多
关键词 临近空间飞行器 监管主体 监管客体 监管事项 国际统一规则 空间安全治理
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自由化与壁垒:日本经贸规则的策略性调整 被引量:1
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作者 平力群 《东北亚学刊》 2024年第4期85-103,148,共20页
国家(经济体)的经贸规则既包括所签署的贸易协定,也包括与进出口贸易和投资相关的法律法规。日本以提高产业国际竞争力为前提开展自由贸易,并形成在国际贸易体系下,以利于产业生存与发展为前提,推动贸易投资自由化的贸易政策范式,为日... 国家(经济体)的经贸规则既包括所签署的贸易协定,也包括与进出口贸易和投资相关的法律法规。日本以提高产业国际竞争力为前提开展自由贸易,并形成在国际贸易体系下,以利于产业生存与发展为前提,推动贸易投资自由化的贸易政策范式,为日本调整经贸规则提供了方向和目标。日本通过调整经贸规则,为实施战略性贸易政策提供制度保障和工具。日本政府一方面高举“自由贸易”旗帜开展巨型EPA/FTA战略,构建多重经济合作网络,为企业提供海外发展所需的制度基础和市场环境;另一方面以“国家安全”为名修改《外汇法》、制定《经济安全保障推进法》,强化货物、服务、技术的进出口和投资规制,为实施贸易保护提供政策工具,形成新壁垒。这一策略性组合是在新约束条件下实施战略性贸易政策的新表现和采用的新工具。 展开更多
关键词 日本 经贸规则 EPA/FTA战略 经济合作网络 经济安全 壁垒
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网络直播中安全保障义务规则的移植与再塑
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作者 杨异 张武杰 《大连理工大学学报(社会科学版)》 CSSCI 北大核心 2024年第6期70-75,共6页
网络空间具有开放共享、互联互通的特性,基于风险收益、危险控制、节省成本等基本法理,网络服务提供者对网络用户具有安全保障义务。这是一项非常重要的义务,具体表现为,网络服务提供者应对网络用户的行为进行危险审核防范、危险排查警... 网络空间具有开放共享、互联互通的特性,基于风险收益、危险控制、节省成本等基本法理,网络服务提供者对网络用户具有安全保障义务。这是一项非常重要的义务,具体表现为,网络服务提供者应对网络用户的行为进行危险审核防范、危险排查警示、合理协助支持。限于滞后性、技术性等客观因素制约,我国可以借鉴域外法律的“避风港”规则,对网络直播服务提供者免除或适当免除法律责任。但其“知道或者应当知道”网络用户的行为存在显著危险,应采取而未采取合理、必要措施制止的,则应承担侵权责任中的间接侵权责任。 展开更多
关键词 网络直播 避风港规则 红旗规则 安全保障义务
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数据跨境流通规则博弈与中国应对
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作者 郭朝先 李婷 罗芳 《中国流通经济》 CSSCI 北大核心 2024年第9期27-38,共12页
如何安全有效促进数据跨境流通和赢得数据跨境流通治理话语权主导权,成为各国博弈的焦点。当前,受各国数据治理理念,核心利益诉求,深层次个人数据安全、国家数据主权、数据跨境自由流通不可兼得的“三元悖论”以及传统数据治理手段制约... 如何安全有效促进数据跨境流通和赢得数据跨境流通治理话语权主导权,成为各国博弈的焦点。当前,受各国数据治理理念,核心利益诉求,深层次个人数据安全、国家数据主权、数据跨境自由流通不可兼得的“三元悖论”以及传统数据治理手段制约,国际数据跨境流通领域形成多元治理机制并存、多套治理模板竞争、多轮博弈持续演进的博弈态势,以及数据跨境流通治理碎片化割裂化的局面。当前,我国以国家安全与数据跨境有序自由流动并重为基本特征的数据跨境流通治理主张,不仅契合我国发展实际,而且符合大多数发展中国家的愿望。总体而言,数据跨境流通治理中国方案是一种合意的数据跨境流通治理方案,但在具体实践中我国数据跨境流通治理依然存在一些短板,如有些规定不太合理导致企业数据跨境流通操作成本高、数据跨境流通治理参与度低导致数据跨境流通互操作性较差、与国际高标准数字经贸规则存在衔接障碍等,同时面临国际上异样的声音,甚至存在被污名化、被打压的风险,不利于数据跨境流通治理中国方案效力与国际影响力的提升。为在数据跨境流通治理领域赢得话语权主导权、推进数据跨境流通国际治理,我国应坚持多边主义,推动以联合国和WTO为主导的国际机制建设;推进“数字丝绸之路”建设,扩大中国方案影响力;加强双多边合作,增强数据跨境流通互操作性;对接高标准数字经贸规则,提高数据跨境流通治理能力。 展开更多
关键词 数据跨境流通 数据流通治理规则 数据安全 中国方案
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证券仲裁的禀赋特性与制度创新:自愿性与强制性的冲突与调和
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作者 黄辉 王超 《交大法学》 CSSCI 北大核心 2024年第4期79-95,共17页
随着证券市场纵深发展和2019年《证券法》确立特别代表人诉讼,我国证券纠纷数量急剧增长。为保障证券纠纷高效处理和投资者合法权益,证监会、司法部于2021年制定了《关于依法开展证券期货行业仲裁试点的意见》。然而,我国对证券仲裁的... 随着证券市场纵深发展和2019年《证券法》确立特别代表人诉讼,我国证券纠纷数量急剧增长。为保障证券纠纷高效处理和投资者合法权益,证监会、司法部于2021年制定了《关于依法开展证券期货行业仲裁试点的意见》。然而,我国对证券仲裁的规制尚不完善,而美国FINRA规则和联邦最高法院Concepcion案判决具有重要启示意义。本文梳理了我国和美国证券仲裁制度的历史发展和现行规则,比较分析了证券仲裁的自愿性和强制性规制模式。鉴于证券仲裁的禀赋特性,我国应从利益平衡角度规制证券仲裁,不能完全照搬美国证券强制性仲裁格式条款规制模式,但可借鉴其在证券.仲裁中增加强制性的经验,在允许当事人自愿选择仲裁的基础上,采用默认选择仲裁的规定。在尊重当事人意思自治的前提下,我国应对证券强制仲裁的格式条款具有更大的包容度,以实现快速解决证券纠纷和妥善保护投资者的多重政策目标。我国法律应循序渐进地建立集团仲裁制度,借鉴代表人诉讼的实践经验,先发展普通代表人仲裁的模式,然后探索特别代表人仲裁制度。 展开更多
关键词 证券仲裁 仲裁自愿性 强制仲裁协议 集团仲裁 FINRA
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