我国证券市场内幕交易民事责任制度的研究
发布时间：2018-08-28 08:15
【摘要】：我国证券市场建立于上世纪90年代,至今才二十余年,相对于美国等国家的证券市场,我国的证券市场建立得比较晚。美国等国家的证券市场发展得比较成熟,证券法律制度也已经比较完善。但由于国家制度、历史文化、社会意识的不同,我国无法照搬美国等资本主义国家的证券法律制度。但随着经济全球化的脚步,尤其是我国加入WTO后,我国的证券法律制度也必须进行一定的改革来适应发展。本文除引言和结语外,分四章研究我国证券市场内幕交易民事责任制度问题并提出相关建议。第一章主要对证券内幕交易民事责任制度进行概述,研究了内幕交易民事责任的起源和发展问题、内幕交易行为的界定问题、内幕交易民事责任制度的作用问题并指出了我国内幕交易民事责任制度现存的主要问题。第二章主要探讨了证券内幕交易民事责任的性质。其中,研究了目前学界的几种主流学说,包括契约责任说、侵权责任说、区分说、独立类型说,并分别对这几种学说作了总结,然后提出了自己的观点。第三章主要探讨了证券内幕交易民事责任的归责原则。作者通过对比国内侵权责任法规定的过错原则、无过错原则和公平原则对内幕交易民事责任归责的适用性,再通过分析美国关于内幕交易的五种归责理论,阐述了美国内幕交易归责理论对我国内幕交易归责的借鉴意义。第四章讨论的是证券内幕交易民事责任制度的完善问题。主要对证券内幕交易民事赔偿请求主体的范围、因果关系的证明问题、损害赔偿的计算问题以及内幕交易民事诉讼中的前置程序问题和诉讼模式选择问题进行了研究并提出了完善的建议。
[Abstract]:China's securities market was established in the 1990s, and it has only been more than 20 years. Compared with the securities market in the United States and other countries, China's securities market has been established relatively late. China can not copy the securities legal system of capitalist countries such as the United States. However, with the pace of economic globalization, especially after China's accession to the WTO, China's securities legal system must also be reformed to adapt to development. The first chapter mainly summarizes the civil liability system of insider trading in securities, studies the origin and development of civil liability of insider trading, the definition of insider trading behavior, the role of the civil liability system of insider trading, and points out the main problems existing in the civil liability system of insider trading in China. Chapter three mainly discusses the nature of civil liability for insider trading in securities. It studies several mainstream theories, including contract liability theory, tort liability theory, distinction theory, independent type theory, and summarizes these theories respectively, and then puts forward its own views. Chapter three mainly discusses civil liability for insider trading in securities. By comparing the principle of fault, the principle of no fault and the principle of fairness to the civil liability of insider trading, the author expounds the reference significance of American insider trading imputation theory to China's insider trading imputation. Chapter four discusses the perfection of civil liability system for insider trading in securities. It mainly studies and puts forward the scope of civil compensation claims for insider trading in securities, the proof of causality, the calculation of damages, the pre-procedure in civil litigation for insider trading and the choice of litigation mode. Good advice.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287
本文编号：2208812
[Abstract]:China's securities market was established in the 1990s, and it has only been more than 20 years. Compared with the securities market in the United States and other countries, China's securities market has been established relatively late. China can not copy the securities legal system of capitalist countries such as the United States. However, with the pace of economic globalization, especially after China's accession to the WTO, China's securities legal system must also be reformed to adapt to development. The first chapter mainly summarizes the civil liability system of insider trading in securities, studies the origin and development of civil liability of insider trading, the definition of insider trading behavior, the role of the civil liability system of insider trading, and points out the main problems existing in the civil liability system of insider trading in China. Chapter three mainly discusses the nature of civil liability for insider trading in securities. It studies several mainstream theories, including contract liability theory, tort liability theory, distinction theory, independent type theory, and summarizes these theories respectively, and then puts forward its own views. Chapter three mainly discusses civil liability for insider trading in securities. By comparing the principle of fault, the principle of no fault and the principle of fairness to the civil liability of insider trading, the author expounds the reference significance of American insider trading imputation theory to China's insider trading imputation. Chapter four discusses the perfection of civil liability system for insider trading in securities. It mainly studies and puts forward the scope of civil compensation claims for insider trading in securities, the proof of causality, the calculation of damages, the pre-procedure in civil litigation for insider trading and the choice of litigation mode. Good advice.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287
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