我国证券虚假陈述民事赔偿制度研究

发布时间：2018-10-21 16:05

【摘要】：证券市场虚假陈述行为作为证券市场中一种常见的但又危害及其严重的现象,对于证券市场的平稳运行以及投资者的合法权益有着巨大的危害。通过民事赔偿制度来对欺诈行为人进行处罚并对受害人的经济利益进行补偿,是一种能够惩恶扬善,震慑不法分子,又能切实可行的平衡双方利益的有效手段。目前,我国在这方面的立法和实践中尚存在着诸多问题亟待解决,本文主要通过对我国目前证券法律法规对于虚假陈述行为民事赔偿的规定,重点针对在实践中有较多争议的前置程序、归责原则、因果关系、损害赔偿、诉讼模式的确定方面做出理论性的分析,并结合国外民事赔偿制度,以期能对我国证券市场虚假陈述民事赔偿制度提出合理可行的完善建议,更好的保护证券市场投资者的利益。全文共分为五章:第一章是绪论。主要介绍了本文的选题背景、选题意义、文献综述、写作思路及方法和本文的创新点及不足。第二章是证券虚假陈述民事赔偿制度的基本理论。本章首先分析介绍了证券虚假陈述民事赔偿的概念,具体包括了虚假陈述的概念、虚假陈述的表现形式以及虚假陈述民事赔偿的概念;其次,还介分析了虚假陈述民事赔偿不同于其他民事赔偿的特征;最后,分析了虚假陈述民事赔偿责任在理论界中被认为是契约责任、侵权责任和独立责任的三种学说。通过以上基本理论的介绍为下文的研究分析作理论上的储备。第三章是我国证券虚假陈述民事赔偿制度的现状及问题。本章主要是对我国目前的虚假陈述民事赔偿的法律规定以及国内学者的一些理论研究,分别从前置程序、归责原则、因果关系、损害赔偿以及诉讼模式的确定等方面进行论证,并结合司法实践中的一些经验,分析现有法律制度存在的优势与缺陷,最后综合上述意见,总结出我国目前虚假陈述民事赔偿制度所需要解决的五个问题。第四章是境外证券虚假陈述民事赔偿制度经验借鉴。本章主要是介绍了美国、日本以及我国台湾地区的证券民事赔偿制度的发展历程,以及现有的关于虚假陈述行为的具体法律规制和民事赔偿制度,通过学习和借鉴其他国家和地区的关于证券欺诈民事赔偿的法律制度,以期开阔视野,了解不同法律规定的长短优劣,为我国证券法律制度的完善提供经验。第五章是我国证券虚假陈述民事赔偿制度的完善。本章主要从实体法角度和程序法角度两个方面,根据在第三章中提出的我国虚假陈述民事赔偿制度所存在的问题,结合第四章中域外国家和地区的一些宝贵经验,来对我国证券民事赔偿制度提出修改和完善的方法,以期能使虚假陈述民事赔偿制度能在我国更好地开展下去。
[Abstract]:As a common but harmful phenomenon in the securities market, the misrepresentation of the securities market has great harm to the smooth operation of the securities market and the legitimate rights and interests of the investors. It is an effective way to punish the deceiver and compensate the economic benefit of the victim through the civil compensation system, which can punish the evil and promote the good, deter the lawless, and balance the interests of both sides. At present, there are still many problems to be solved in our country's legislation and practice. Focusing on the preprocedure, the principle of imputation, the causality, the compensation for damages, the determination of the litigation mode, and combining with the foreign civil compensation system, the author focuses on the theoretical analysis of the preprocedure, the principle of attribution, the causality, the compensation for damages and the determination of the litigation mode, In order to put forward reasonable and feasible suggestions to the civil compensation system of misrepresentation in China's securities market and better protect the interests of investors in the securities market. The full text is divided into five chapters: the first chapter is an introduction. This paper mainly introduces the background, significance, literature review, writing ideas and methods, innovation and shortcomings of this paper. The second chapter is the basic theory of civil compensation system of securities misrepresentation. This chapter firstly introduces the concept of civil compensation for securities misrepresentation, including the concept of false statement, the expression of false statement and the concept of civil compensation for false statement. It also analyzes the characteristics of misrepresentation civil compensation different from other civil compensation. Finally, it analyzes the three theories that false statement civil compensation liability is regarded as contractual liability, tort liability and independent liability in the theoretical circle. Through the introduction of the above basic theory for the following research and analysis to make theoretical reserves. The third chapter is the current situation and problems of civil compensation system of securities misrepresentation in China. This chapter is mainly about the legal provisions of civil compensation for misrepresentation in our country and some theoretical studies of domestic scholars, respectively, from the aspects of pre-procedure, imputation principle, causality, compensation for damages and the determination of litigation mode, etc. Combined with some experience in judicial practice, this paper analyzes the advantages and disadvantages of the existing legal system, and finally summarizes the five problems that need to be solved in the current civil compensation system of false statements. The fourth chapter is the experience of foreign securities misrepresentation civil compensation system. This chapter mainly introduces the development of the securities civil compensation system in the United States, Japan and Taiwan, as well as the existing specific legal regulation and civil compensation system on misrepresentation. By studying and drawing lessons from the legal system of civil compensation for securities fraud in other countries and regions, we hope to broaden our vision, understand the advantages and disadvantages of different legal provisions, and provide experience for the perfection of our country's securities legal system. The fifth chapter is the perfection of civil compensation system of securities misrepresentation in our country. This chapter mainly from the substantive law angle and the procedural law angle, according to the third chapter proposed in our country false statement civil compensation system existence question, unifies the fourth chapter in the foreign country and the region some valuable experience, In order to make the civil compensation system of false statement develop better in our country, this paper puts forward the methods of modifying and perfecting the civil compensation system of securities in our country.
【学位授予单位】：上海师范大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

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