Taikos sutartis tarp priežiūros institucijos ir finansų rinkos dalyvio: tik teorinė galimybė ar pasiekiama realybė?

LTStraipsnyje nagrinėjamos įstatymo leidėjo numatytos taikos sutarties sudarymo tarp priežiūros institucijos ir jos prižiūrimų finansų rinkos dalyvių galimybės. Siekiama atskleisti, kaip priežiūros institucijos vykdoma veikla tenkintų būtinąsias tokios sutarties sąlygas – ginčo pobūdžio ir atitikties viešajam interesui. Taikos sutarties, kaip priežiūros institucijos ir jos prižiūrimų finansų rinkos dalyvių santykių reguliavimo priemonės, privalumai vertinami atsižvelgiant į galimus nepageidaujamus taikos sutarties taikymo padarinius ir lyginamuoju metodu nagrinėjant JAV įgytą ikiteisminio taikos sutarčių sudarymo praktiką. [Iš leidinio]Reikšminiai žodžiai: Priežiūros institucija; Finansų rinkos dalyvis; Viešasis interesas; Ginčo pobūdis; Administracinis procesas; Supervisory authority; Financial market participant.

ENThe author of this paper analyses the concept and application of settlements between the supervisory authority and financial market participants. The author seeks to reveal the significance of the role of public interest in the competence and activity of the supervisory authority and how it determines the practical and theoretical approach towards the application of settlements. The paper assesses the pros and cons of settlements, as well as presents a comparative analysis of the practice of settlements in the United States. The obligatory prerequisite of the settlement is the legal right of the parties to dispose the subject of this settlement. The imperative principle prevails in the sanctions process; therefore, the possibility of the supervisory authority to conclude the settlement with the financial market participant during the process of administrative court proceedings is very limited: it may be the case when the subject of the settlement is not identical to the main subject matter of the obligation. The author analyses the right to conclude the settlement at the pre-litigation stage. It is concluded that the right of the supervisory authority to conclude the settlement with the financial market participant before the dispute is brought to the trial should be regulated by laws. However, the compulsory condition for such a pre-litigation settlement should be the requirement that it will be disclosed to the public and could be treated as a soft law for preventive future purposes. [From the publication]