证券虚假陈述的民事诉讼制度研究

发布时间：2018-04-29 15:09

本文选题：证券虚假陈述 + 证券法修订　；参考：《上海交通大学》2015年硕士论文

【摘要】：本文首先论述了证券虚假陈述行为的定义和基本类型,及其对证券市场以及投资者存在的严重危害性,并对其进行法律定性。接下来,论述了我国现行法律体系下,证券虚假陈述民事诉讼制度相对应的实体法基础以及程序法的规定,并且从国内已发生的典型案例入手,深入分析目前国内法院审理证券虚假陈述民事赔偿案件的模式、特点以及问题。紧接着,从证券虚假陈述行为相关的法律规定、案例效果的分析中,总结出目前审理该类案件的司法困境,包括有现行法律层面的问题、司法实践的问题,以及制度外因素的限制,从而得出民事诉讼制度方面亟待完善的方向。接下来,紧紧扣住已发现的问题,结合证券法修订的新方向,提出了证券虚假陈述民事诉讼制度完善路径,核心是立足现有的制度规定以及司法资源,借鉴国外理论成果以及司法经验,完善诉讼代表人制度,设立专门的团体诉讼制度,并加强有益的制度补充。最后,对于本文论述的观点作总结,并强调完善证券虚假陈述民事诉讼制度的紧迫性。
[Abstract]:This paper first discusses the definition and basic types of securities misrepresentation and its serious harm to the securities market and investors. Then, it discusses the basis of substantive law and the provisions of procedural law corresponding to the civil litigation system of securities misrepresentation under the current legal system of our country, and starts with the typical cases that have taken place in China. This paper analyzes deeply the mode, characteristics and problems of civil compensation cases of securities misrepresentation in domestic courts. Then, from the legal provisions related to securities misrepresentation and the analysis of the effect of the case, the author summarizes the judicial difficulties in the trial of this kind of cases at present, including the problems of the current legal level, the problems of judicial practice, And the limitation of external factors, so that the civil litigation system needs to be improved. Next, tightly clasping to the problems that have been found, combining with the new direction of the revision of the Securities Law, this paper puts forward the path to the perfection of the civil litigation system of securities misrepresentation, the core of which is based on the existing system regulations and judicial resources. Drawing lessons from foreign theoretical achievements and judicial experience, we should perfect the representative system of litigation, set up a special group litigation system, and strengthen the beneficial system supplement. Finally, this paper summarizes the views and emphasizes the urgency of perfecting the civil litigation system of securities misrepresentation.
【学位授予单位】：上海交通大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D925.1

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