论上市公司董事虚假陈述民事责任追究机制
发布时间：2018-09-17 12:25
【摘要】：我国证券市场自上世纪九十年代开始发展,二十多年来取得了举世瞩目的成就,蓬勃发展的同时也出现了许多问题。由于上市公司数量的激增,证券市场监管相对滞后,证券市场中侵害投资者权利的恶性事件频发,其中上市公司董事虚假陈述的违法行为就是表现最为严重的行为之一。董事的职务行为涉及到我国证券市场中各个主体的利益,强调董事虚假陈述民事责任追究机制意义重大,不仅能促进他们全面履行信息披露义务,预防和制约虚假陈述违法行为的发生,而且为切实维护投资者的合法权益开启了司法途径,为投资者寻求诉讼救济提供法律上的理论支持。因此,本文就上市公司董事虚假陈述民事责任追究机制展开研究。本文由四部分组成:第一部分,从上市公司董事虚假陈述民事责任的基本理论入手,概述上市公司董事虚假陈述民事责任的概念、性质、构成要件以及追究上市公司董事虚假陈述民事责任的意义。第二部分,通过梳理美国、日本和德国三个国家关于上市公司董事虚假陈述民事责任追究机制,分别从投资者对董事可直接提起民事诉讼、投资者有独特的诉讼形式和建立董事民事赔偿责任保险制度三个方面对有关上市公司董事虚假陈述民事责任追究机制中的相关模式进行探讨和分析。第三部分,指出我国上市公司董事虚假陈述民事责任追究机制现状及存在的三点问题。首先指出董事虚假陈述民事责任追究机制的立法现状和实施现状,然后从投资者追究董事民事责任时前置程序的限制、诉讼形式的不足和董事财力不足以支付投资者损失三方面提出上市公司董事虚假陈述民事责任追究机制的不足。第四部分,提出完善我国上市公司董事虚假陈述民事责任追究机制的三点建议。首先提出了完善和扩展前置程序,扩大前置程序的认定主体和明确行政机关做出行政处罚期间;其次从扩大代表人诉讼的适用范围、修改权利登记的程序、拓展诉讼代表人的产生方式和诉权范围三个方面建议改革完善现有的诉讼模式;最后建议完善董事责任保险制度。
[Abstract]:The stock market of our country has been developing since 1990s, and has made great achievements in the past twenty years. Due to the rapid increase in the number of listed companies, the supervision of the securities market is relatively lagging behind, and the pernicious incidents of infringing the rights of investors occur frequently in the securities market, among which the illegal behavior of misrepresentation of directors of listed companies is one of the most serious behaviors. The duty behavior of directors is related to the interests of all subjects in the securities market of our country. It is of great significance to emphasize that the mechanism of investigating directors' civil liability for misrepresentation not only can promote them to fully fulfill the obligation of information disclosure. To prevent and restrict the occurrence of illegal behavior of false statements, and to effectively protect the legitimate rights and interests of investors to open a judicial approach, for investors to seek legal relief to provide legal theoretical support. Therefore, this article on the listed company director false statement civil liability investigation mechanism to carry on the research. This paper is composed of four parts: the first part, starting with the basic theory of the civil liability of the directors' misrepresentation of listed companies, summarizes the concept and nature of the civil liability of the directors' misrepresentation of listed companies. The constitutive elements and the significance of investigating the civil liability of directors of listed companies for misrepresentation. In the second part, by combing the civil liability investigation mechanism of the directors of listed companies in three countries, the United States, Japan and Germany, they can bring direct civil action against the directors from investors. Investors have a unique form of litigation and the establishment of civil liability insurance system for directors of listed companies in three aspects of the false statement of the director of the civil liability mechanism related to the discussion and analysis of the relevant models. In the third part, the author points out the present situation and three problems of the civil liability investigation mechanism of the directors' misrepresentation in listed companies in our country. First of all, it points out the legislative status and implementation status of the mechanism of investigating directors' civil liability for misrepresentation, and then points out the limitation of the pre-procedure when investigating the directors' civil liability from the investors. The deficiency of the litigation form and the director's financial ability to pay the investor's loss three aspects put forward the deficiency of the civil liability investigation mechanism of the director's false statement of the listed company. In the fourth part, three suggestions are put forward to perfect the civil liability investigation mechanism of directors' misrepresentation. First of all, it proposes to perfect and expand the pre-procedure, to expand the identification subject of the pre-procedure and to make clear the period of administrative punishment made by the administrative organ; secondly, to revise the procedure of right registration from expanding the scope of application of the representative action, The author proposes to reform and perfect the existing litigation mode in three aspects: to expand the way of producing representative litigation and to improve the scope of litigation right; finally, to perfect the director's liability insurance system.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D925.1
本文编号：2245913
[Abstract]:The stock market of our country has been developing since 1990s, and has made great achievements in the past twenty years. Due to the rapid increase in the number of listed companies, the supervision of the securities market is relatively lagging behind, and the pernicious incidents of infringing the rights of investors occur frequently in the securities market, among which the illegal behavior of misrepresentation of directors of listed companies is one of the most serious behaviors. The duty behavior of directors is related to the interests of all subjects in the securities market of our country. It is of great significance to emphasize that the mechanism of investigating directors' civil liability for misrepresentation not only can promote them to fully fulfill the obligation of information disclosure. To prevent and restrict the occurrence of illegal behavior of false statements, and to effectively protect the legitimate rights and interests of investors to open a judicial approach, for investors to seek legal relief to provide legal theoretical support. Therefore, this article on the listed company director false statement civil liability investigation mechanism to carry on the research. This paper is composed of four parts: the first part, starting with the basic theory of the civil liability of the directors' misrepresentation of listed companies, summarizes the concept and nature of the civil liability of the directors' misrepresentation of listed companies. The constitutive elements and the significance of investigating the civil liability of directors of listed companies for misrepresentation. In the second part, by combing the civil liability investigation mechanism of the directors of listed companies in three countries, the United States, Japan and Germany, they can bring direct civil action against the directors from investors. Investors have a unique form of litigation and the establishment of civil liability insurance system for directors of listed companies in three aspects of the false statement of the director of the civil liability mechanism related to the discussion and analysis of the relevant models. In the third part, the author points out the present situation and three problems of the civil liability investigation mechanism of the directors' misrepresentation in listed companies in our country. First of all, it points out the legislative status and implementation status of the mechanism of investigating directors' civil liability for misrepresentation, and then points out the limitation of the pre-procedure when investigating the directors' civil liability from the investors. The deficiency of the litigation form and the director's financial ability to pay the investor's loss three aspects put forward the deficiency of the civil liability investigation mechanism of the director's false statement of the listed company. In the fourth part, three suggestions are put forward to perfect the civil liability investigation mechanism of directors' misrepresentation. First of all, it proposes to perfect and expand the pre-procedure, to expand the identification subject of the pre-procedure and to make clear the period of administrative punishment made by the administrative organ; secondly, to revise the procedure of right registration from expanding the scope of application of the representative action, The author proposes to reform and perfect the existing litigation mode in three aspects: to expand the way of producing representative litigation and to improve the scope of litigation right; finally, to perfect the director's liability insurance system.
【学位授予单位】：辽宁大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D925.1
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