论证券信息违法传播行为的法律规制

发布时间：2018-05-25 16:25

本文选题：证券法 + 虚假信息　；参考：《浙江大学》2016年硕士论文

【摘要】：我国证券信息披露领域中的上市公司虚假陈述、重大遗漏等违法行为受到了特别的重视,但对证券信息违法传播行为关注不足。笔者在论述规制证券信息违法传播行为理论的基础上,分析了我国证券信息违法传播行为的规制现状,认为问题缘于规制的对象过窄、行为界定不够清晰、法律责任不合理、法律法规之间不相衔接。并通过分析以美国和我国台湾地区为代表的两种立法模式及相关启示,认为台湾模式更适合我国立法现状,对规制证券信息违法传播行为提出了相应的法律对策。文章首先在引言部分表明研究的背景、目的和意义。第二部分主要阐明本文的理论基础。一是明确证券信息违法传播行为概念和特点。二是分别以宪法学和法经济学的理论对该行为进行分析,明确规制的必要性和规制的限度。第三部分是证券信息违法传播行为的规制问题和成因部分。问题缘于规制的对象过于狭窄、主体界定不清晰和法律责任不合理以及法律法规之间不相衔接四个方面,为下文提出相应的法律对策作铺垫。第四部分选取了美国和我国台湾地区两种代表性的立法模式。具体论述了“纳入‘操纵市场’范围”以及“分别列出”两种模式及各自优点。并认为在注册制改革的背景,台湾地区的模式更为适合。第五部分提出证券信息违法传播行为的构想。在预防机制方面：培育理性的投资者群体、加强行业自律管理制度。在惩戒机制方面：扩大规制对象、明确法律责任并衔接相关法律法规。在民事救济机制方面：完善证券纠纷民事诉讼制度和诉调对接制度。
[Abstract]:The illegal behaviors of listed companies in the field of securities information disclosure, such as false statements and major omissions, have received special attention, but insufficient attention has been paid to the illegal dissemination of securities information. On the basis of discussing the theory of regulating illegal communication of securities information, the author analyzes the present situation of the regulation of illegal communication of securities information in China. The author thinks that the problem is that the object of regulation is too narrow, the definition of behavior is not clear enough, and the legal responsibility is unreasonable. Laws and regulations are not in line with each other. Through the analysis of the two legislative models represented by the United States and the Taiwan area and their relevant revelations, the author thinks that the Taiwan model is more suitable for the present legislative situation of our country, and puts forward the corresponding legal countermeasures to regulate the illegal dissemination of securities information. The first part of the article shows the background, purpose and significance of the study. The second part mainly expounds the theoretical basis of this paper. The first is to clarify the concept and characteristics of illegal dissemination of securities information. The second is to analyze the behavior with the theories of constitutional law and law economics, and make clear the necessity of regulation and the limit of regulation. The third part is the regulation and cause of securities information illegal communication. The problem is that the object of regulation is too narrow, the definition of the subject is not clear and the legal responsibility is unreasonable, and the laws and regulations are not connected with each other, which pave the way for the following legal countermeasures. The fourth part selects the two representative legislative models of the United States and Taiwan. This paper discusses the two models and their respective advantages of integrating the scope of market manipulation and listing separately. In the background of registration system reform, the model of Taiwan is more suitable. The fifth part puts forward the conception of illegal dissemination of securities information. In the aspect of prevention mechanism: cultivate rational investor group, strengthen industry self-discipline management system. In the disciplinary mechanism: expand the regulatory object, clear legal responsibility and link up the relevant laws and regulations. In the aspect of civil relief mechanism, we should perfect the civil litigation system of securities disputes and the docking system of litigation.
【学位授予单位】：浙江大学
【学位级别】：硕士
【学位授予年份】：2016
【分类号】：D922.287

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