نقش کانون کارگزاران بورس اوراق بهادار در سازش و کاهش پرونده های ارجاعی به هیات داوران : ترکیب شبکه عصبی مصنوعی و الگوریتم رقابت استعماری

نوع مقاله : علمی پژوهشی

نویسنده

• شهرام صبری

استادیار، گروه حقوق، واحد بیله سوار، دانشگاه آزاد اسلامی، بیله سوار، ایران

https://doi.org/10.22067/economlaw.2024.84210.1308

چکیده

چکیده
هدف: تراکم پرونده های قضایی در محاکم عمومی و تخصصی یکی از ابر چالش های موجود در نظام قضایی کشور محسوب می گردد که موجب عدم تحقق دادرسی عادلانه می شود. دراین پژوهش نقش کمیته های اجرائی کانون کارگزاران بورس و اوراق بهادار در اعلام رضایت و سازش در کمیته سازش و کاهش پرونده های ارجاعی به هیات داوران بررسی شده است.
روش شناسی: داده های این پژوهش از آرشیو بولتن ماهانه کانون کارگزاران بورس از تاریخ 1/1/1395 الی 31/4/1402 گردآوری شده است. کلیه عوامل و راه کارهای افزایش یا کاهش پرونده های حقوقی، با استفاده از تجمیع نظرات خبرگان به روش میانگین هندسی موزون و ماتریس گسترش عملکرد کیفیت رتبه بندی و کمیته استیناف و کمیته گواهینامه های حرفه ای بازارسرمایه با درجه اهمیت پائین از مدل پژوهش حذف گردید. عوامل و راهکارهای با درجه اهمیت بالا شامل مجموع تعداد پرونده های اعلام رضایت و سازش به عنوان متغیرخروجی و عملکرد کمیته های سازش، راهبری آموزش بازارسرمایه، حقوقی، قانون بازارسرمایه، شرح شغل، واحد اموراعضاء و کارگروه های نظارت ،کنترل داخلی و راهبری فناوری اطلاعات به عنوان متغیرهای ورودی در شبکه فراخوانی و مدل ریاضی پژوهش توسط روش ترکیبی شبکه عصبی و الگوریتم رقابت استعماری موردآزمون قرارگرفت.
یافته ها: فرآیندآموزش شبکه پس از همگرایی تابع برازش متوقف شد، خطای آزمون 03-e4/12 و دقت مدل 76/98 درصد برآورد گردید. هر یک از تعاملات بین ارکان کانون منتهی به پیشگیری و یا حل و فصل تخلفات انضباطی بین کارگزاران وسرمایه گذاران و کاهش پرونده های ارجاعی به هیات داوری شده است.

کلیدواژه‌ها

• کمیته سازش
• کانون کارگزاران بورس اوراق بهادار
• ماتریس گسترش عملکردکیفیت
• شبکه عصبی
• الگوریتم رقابت استعماری

مراجع

• Abdul Pelumi, G.(2023) Arbitration, International Mediation, and the Widening of the Alternative Dispute Resolution Space: Bloated Expectations or a Matter of Time, International Journal of Law and Society. 6(1), 23-30.
• Abhari, H., Taleqan Ghafari, M., & Moosavi khatir, S. T. (2022). A Comparative Study of Compromise in the Transnational Civil Procedure Law and the Iranian Law. Journal of Comparative Law, 6(1), 7-21. [In Persian]
• Ahmadvand, K. E., & Maggi, R. (2021). A comparative study of the conciliation institution in Iranian and Egyptian laws. Kanon Yar, 5(17), 157-181. [In Persian]
• Al Serhan, B. A. F., Al Shawawreh, W. F., & Collins, P. (2023). Practice Insight: Court‐connected mediation in Jordan—Considerations for choosing a mediator. Conflict Resolution Quarterly, 40(4) ,483-492.
• Almasi, N. (2016). Competence, structure and proceedings of the Conciliation Committee, Association of Stock and Securities Brokers, Scientific Journal of Modern Research Approaches to Management and Accounting, 1(2), 117-124. [In Persian]
• Ashourzadeh Chakusari ,M., Shekarchi Zadeh ,M., Masoud , G. (2020). Offences and Procedures in the Iranian and United State Capital Markets, , Indonesian Law Journal,8(2), 261-278. [In Persian]
• Atashpaz-Gargari, Lucas, C. (2007). Imperialist Competitive Algorithm: An algorithm for optimization inspired by imperialistic competition, IEEE Congress on Evolutionary Computation, 4661-4667. [In Persian]
• Chan, L.K., Wu, M.L. (2005). A systematic approach to quality function deployment with a full illustrative example. Omega 33, 119–139.
• Disciplinary guidelines for brokers, approved by the Board of Directors of the Securities and Exchange Organization, 2009.
• Ebadi, M. I.(2005). Reasons for delaying proceedings and ways to prevent  them: passing laws to reduce cases in courts, Mehr Judgment, 40, 32-39. [In Persian]
• Esmaili, A., & Bagheri Asl, H. (2021). The role of the lawyer in reducing litigation and settling peacefully through arbitration. Modern Jurisprudence and Law, 2(5), 39-63. [In Persian]
• Farahani, R.;  Omidi, R. & Kamali Kho, A. (2014). Identifying and prioritizing the factors affecting the delay of proceedings and ways to solve them in order to increase the efficiency of judicial proceedings in courts using the QFD technique, first International Comprehensive Law Congress of Allameh Tabatabai University, Tehran. [In Persian]
• Farhadi, H., & Shams, A. (2022). Judiciary through the quasi-judicial authorities of the Judge of the Dispute Resolution Council. Culmination of Law, 7(4), 54-83. [In Persian]
• Farhadi, H., & Shams, A. (2022). The effect of restorative justice in reducing the cost of litigation in legal systems. Financial Economics, 16(59), 347-366. [In Persian]
• Gasemlo, M. (2020). Strategies for Reducing Cases in Police Social Work Units. Crime Prevention Approach, 3(1), 123-144. [In Persian]
• Ghanbarpor, B., & GHORBANI, O. (2023). Investigating the Impact of Creating Electronic Notification and Registration in the Process of Judicial Proceeding. Jurisprudence and Criminal Law Doctrines, 1(4), 45-67. [In Persian]
• Ghasemi hamed, A., Barari Chenari, Y., Jahanian, M. (2021). Enforced Arbitration Review of Securities Market Disputes with a Look at Arbitration Boards (Analysis of Article 36 of the Islamic Republic of Iran Securities Market Act, 2005) And a draft law on promoting the country's capital market system. Journal of Securities Exchange, 14(54), 120-149. [In Persian]
• GN, P. (2023). An Analytical Study on Effectiveness of Section 89 of Code of Civil Procedure, http://dx.doi.org/10.2139/ssrn.4468327.
• Guidelines for Handling Disputes in the Association of Stock Exchange and Securities Brokers, approved by the Board of Directors of the Stock Exchange and Securities Organization, 2007. [In Persian]
• Hadadzadeh, M., mazidi, A., & barghi, M. M. (2020). Favorable and unfavorable consequences on criminal proceedings. Political Sociology of Iran, 3(3), 1447-1455. [In Persian]
• Haddadzadeh Shakiba, A., & Hassanzadeh, M. (2023). Examining the Role of the Courts in Persuading the Litigants through Non-Judicial Dispute Resolution; A Comparative Study of Common Law, the Romano-Germanic and Iranian Legal Systems. Journal of Comparative Law, 9(2), 129-154. [In Persian]
• Kargar Chigani, M. A., & Almasi, N. A. (2016). Examining the role of economic analysis in determining the law governing contracts with an emphasis on consumer contracts. Legal Research Quarterly, 20(77), 11-38. [In Persian]
• Kashfi, S. S. & Hajti, S. (2015). The role of judges in reducing and increasing criminal cases in Iranian law (case study: Khuzestan province 2015), the second international research conference in science and engineering, Ahar. [In Persian]
• Koosha, J., Barani Beyranvand, M., & Moradkhani, M. (2008). The Organizational Factors Influencing the Circuit of Procedure in the Formation of Judicial Cases in the Sheriffs. Police Management Studies Quarterly, 3(2), 217-235. [In Persian]
• Majidi, S. (2021). The role of non-governmental organizations in creating peace and compromise as a peacemaker for judicial authorities, the 7th International Conference on Language, Literature, History and Civilization, Tabriz. [In Persian]
• Mehdi, K. (2021). The impact of information technology in judicial proceedings, Araeh Magazine, 4(8), 109-130. [In Persian]
• Motamedizadeh, M., Delir, H., & Ahmadi Mousavi, M. (2022). Reasons for delaying proceedings in criminal matters; Factors and solutions. Strategic Studies of Jurisprudence and Law, 4(special issue), 603-620. [In Persian]
• Nikbakht H, sadeghi M.(2021). Resolving professional disputes in Iran’s Securities and Exchange Market; Overcoming the Legal Compulsory to alternative methods. qjal , 8 (27), 235-255. [In Persian]
• Qobadi, Y. (2022). Examining and recognizing negotiable claims in Iran's legal system. Journal of civil & legal sciences (ghanonyar), 6(21), 393-410. [In Persian]
• Rafiee Tabatabaei, S. H. (2020). Reviewing the Actions of the Judiciary in Order to Improve the Proceedings and Its Effect on Reducing the Length of Proceedings. Strategic Studies of Jurisprudence and Law, 2(1), 30-47. [In Persian]
• Rafieei Tabatabaeei, S. H., & Darabi, I. (2020). Investigating the Factors Affecting the Elimination of Judicial Delay and Judicial Development with a Case Study on Kermanshah Court in 2018. Fares Law Research, 2(5), 46-65. [In Persian]
• Salehi, M., & Garshasbi, F. (2019). Tehran Stock Exchange Index Forecasting Using Approach Adaptive Neural-Fuzzy Inference System and Imperialist Competitive Algorithm. Business Intelligence Management Studies, 8(29), 5-34. [In Persian]
• Shamshiri Nizam, T. (2019), Investigating the role of conciliation center in the capital market with emphasis on the competence of the center in speeding up the resolution of disputes, Journal ol legal studies, 6(8),  51-65. [In Persian]
• Shayganfard, M. (2018). Reduction of cases by resolving disputes: Revival of third stage proceeding (Paradox or Reality). Treaty Legal Research, 2(summer), 193-209. [In Persian]
• Taheri, S., & Sharif olyaei, H. (2020). Compulsory arbitration and its implications in Iranian law. Legal Educations Govah Bi-quarterly Journal, 6(1), 177-212. [In Persian]
• Taherkhani, A. (2017). Reducing court cases and improving judicial efficiency: review of the recommendations of the Council of Europe Judicial Efficiency Commission, Judicial Developments, 3, 4-6. [In Persian]
• Vashist, A. (2023).Appointment of Arbitrator under Arbitration and Conciliation Act, 1996 in Light of Brahmani River Pellets Ltd. vs Kamachi Industries Ltd. Civil Appeal No. 5850 of 2019. Supremo Amicus 32: 93.