证券交易中民事责任制度分析

发布时间：2018-04-19 11:58

本文选题：证券交易 + 证券违法行为　；参考：《西南政法大学》2013年硕士论文

【摘要】：证券违法交易行为长期以来都是困扰证券市场的一大难题，严重破坏了证券市场的市场秩序，对大众投资者的利益造成了极大损害，危害证券市场健康有序地发展，因此几乎所有国家都通过立法对证券违法交易行为予以禁止。我国的证券市场经历了二十余年的发展，取得了相当的成就，在立法水平、制度建设等方面都有显著提高。长期以来，我国一直坚持反对证券违法交易行为，且不断加大对证券违法交易行为的打击力度。然而在当前形势下，由于规制证券交易的立法以及监管体系还不怎么完备，而且目前仍然欠缺规制证券违法交易行为的民事责任制度，这些都在一定程度上影响着规制证券违法交易行为的力度。本文通过分析证券违法交易行为的类型着手，比较分析了民事责任的补偿性功能与惩罚性功能，得出民事责任的惩罚性功能是规制证券违法交易行为的最佳方式，提出将惩罚性赔偿功能引入到证券违法交易的规制中的设想，并以此为角度对我国在保护证券投资者合法权益方面进行一定的思考，意在于我国的证券市场构建完备的惩罚性赔偿制度，以达到更好的保护证券投资者合法权益，以及有利于证券市场的较好较快发展的双重目的。除了引言和结语之外，笔者将本文分为四个部分：引言概述了本文选题的背景及意义，并概括了该选题的国内外研究综述，提出了本文的创新之处。第一部分主要概括分析了证券违法交易行为的类型，分别是内幕交易行为、操纵市场行为、虚假陈述行为、欺诈客户行为，以及其他证券违规行为，目的通过对各种证券违法交易行为的分析得出规制每一种证券违法交易行为的必要性，，为下文的论述作了铺垫。第二部分则对证券民事责任制度进行了介绍，笔者分别对证券民事责任制度进行了概述，然后比较分析了证券民事责任制度中惩罚性赔偿制度与补偿性赔偿制度的优劣，并得出惩罚性赔偿制度是保护证券投资者合法权益的最有效方式。第三部分是对证券惩罚性赔偿制度的归责原则以及构成要件进行了适度的分析，借鉴美国的先进经验，概括总结得出我国证券惩罚性赔偿制度的构成要件。第四部分则分析了我国在证券交易领域构建证券惩罚性赔偿制度的必要性与可行性，并对构建证券惩罚性赔偿制度提出了自己的设想，最后对完善我国证券惩罚性赔偿制度提出了自己的思考，以求对我国保护证券投资者合法权益有所裨益。结语部分总结了本文的主要研究内容，并基于对前文的研究分析，重申了我国在证券交易市场中引入惩罚性赔偿制度的紧迫性与必要性。
[Abstract]:For a long time, illegal securities trading has been a difficult problem that has troubled the securities market. It has seriously damaged the market order of the securities market, caused great harm to the interests of the public investors, and endangered the healthy and orderly development of the securities market.Therefore, almost all countries have passed legislation to prohibit illegal trading of securities.China's securities market has experienced more than 20 years of development, has made considerable achievements, in the legislative level, system construction and other aspects have significantly improved.For a long time, our country has always opposed the illegal trading of securities, and has been increasing the crackdown on the illegal trading of securities.However, under the current situation, because the legislation and supervision system of regulating securities trading is not complete, and there is still no civil liability system to regulate the illegal trading of securities.To a certain extent, these all affect the regulation of illegal trading of securities.By analyzing the types of securities illegal trading, this paper compares the compensatory and punitive functions of civil liability, and concludes that the punitive function of civil liability is the best way to regulate securities illegal trading.This paper puts forward the idea of introducing the punitive damages function into the regulation of illegal securities trading, and from this point of view, gives some thoughts on the protection of the legitimate rights and interests of securities investors.The purpose of this paper is to establish a complete punitive damages system in China's securities market in order to better protect the legitimate rights and interests of securities investors and to benefit the better and faster development of the securities market.In addition to the introduction and conclusion, the author divides this article into four parts:The introduction summarizes the background and significance of this topic, summarizes the domestic and foreign research on this topic, and puts forward the innovation of this paper.The first part summarizes the types of securities illegal trading, including insider trading, market manipulation, misrepresentation, customer fraud, and other securities irregularities.Objective to find out the necessity of regulating each kind of illegal securities trading behavior through the analysis of all kinds of securities illegal trading behavior, and to pave the way for the following discussion.The second part introduces the securities civil liability system, the author summarizes the securities civil liability system, and then compares the advantages and disadvantages of the punitive damages system and the compensatory compensation system in the securities civil liability system.And the punitive damages system is the most effective way to protect the legitimate rights and interests of securities investors.The third part is a moderate analysis of the liability principle and the constitutive elements of the securities punitive damages system, draw lessons from the advanced experience of the United States, summed up the elements of the securities punitive damages system in China.The fourth part analyzes the necessity and feasibility of establishing the securities punitive damages system in the field of securities trading in China, and puts forward its own ideas for the construction of the securities punitive damages system.Finally, the author puts forward his own thoughts on perfecting the system of punitive damages of securities in China, in order to benefit the protection of the legitimate rights and interests of securities investors.The conclusion part summarizes the main research contents of this paper, and based on the above research and analysis, reiterates the urgency and necessity of introducing punitive damages system in the stock exchange market in our country.
【学位授予单位】：西南政法大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D923;D922.287

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