我国证券投资者保护基金赔偿制度研究

发布时间：2018-05-13 15:40

本文选题：证券投资者保护基金 + 赔偿制度　；参考：《北京交通大学》2014年硕士论文

【摘要】：为应对证券市场系统性风险,各国设立证券投资者保护基金以提振市场信心,保护投资者利益。在证券投资者保护基金运行过程中,其赔偿制度起到了关键性作用。我国于2005年成立中国证券投资者保护基金公司,将国际经验付诸实践。但是需要看到,我国保护基金赔偿制度立法存在不足之处。这种不足之处将动摇整个保护基金运行的法律基础,并干扰保护基金的正常功能。在进行赔偿制度不足的探讨前,本文首先通过引入系统性风险与道德风险两个经济学概念,以此明确了保护基金及其赔偿制度的价值与目的所在。之后,采用法解释学、比较法学、实证法学等研究方法,从赔偿对象、赔偿范围及限额,赔偿流程三个方面揭示我国现行赔偿制度的不足之处：赔偿对象不明确,赔偿范围过大,赔偿限额缺失,赔偿流程繁琐不堪。再通过分析借鉴国外立法经验与我国经济社会现状,提出了相应对策。
[Abstract]:In order to deal with the systemic risk of the securities market, various countries set up the securities investor protection fund to boost the confidence of the market and protect the interests of the investors. The compensation system plays a key role in the operation of the securities investor protection fund. China established China Securities Investor Protection Fund Company in 2005 to put international experience into practice. But need to see, our country protection fund compensates the system legislation to have the deficiency. This deficiency will shake the legal basis of the whole protection fund and interfere with the normal function of the protection fund. Before discussing the deficiency of compensation system, this paper firstly introduces the economic concepts of systemic risk and moral hazard, and then clarifies the value and purpose of the protection fund and its compensation system. Then, by using the methods of legal hermeneutics, comparative law and empirical law, this paper reveals the deficiency of our country's current compensation system from three aspects: the object of compensation, the scope and limit of compensation, and the compensation process: the object of compensation is not clear. Compensation scope is too large, compensation limits are missing, the compensation process is cumbersome. By analyzing the foreign legislative experience and the current economic and social situation in China, the corresponding countermeasures are put forward.
【学位授予单位】：北京交通大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287

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