证券侵权行为民事责任研究

发布时间：2018-07-14 19:08

【摘要】：证券市场随着经济社会的不断发展逐渐成为国民经济的重要组成部分,影响着社会经济的健康发展,一方面其自身存在的高收益性使无数投资者趋之若鹜,另一方面高风险性又让人对之望而生畏。基于证券市场的特点和当中的利益博弈,常会产生许多为保护自身利益而损害他人合法权益的违法行为,可称之为证券侵权行为,这无疑会破坏良好的证券市场秩序乃至整个经济环境的发展。因此,利用完善的法律制度调整规范证券市场是十分必要的。在我国对证券市场进行法律调整的发展过程中,一直呈现重公法救济、轻私法救济的特点,即对于证券侵权行为的行为人常课以行政处罚或刑事处罚。的确,公法上的救济的确能起到很大的威慑作用及惩戒效果,但往往忽视了对证券市场总的重要群体--投资者合法权益的保护,他们因证券侵权行为而遭受的财产损失无法得到切实的弥补,使投资者合法权益的保护无法落到实处,而能够起到补偿损害作用的法律制度是被我国司法实践长期忽视的民事责任制度。本文从保护投资者合法权益的角度出发,探求证券侵权行为民事责任制度,力求对证券法中违法行为的民事责任有更深层次的了解。本文共分为三大部分,第一部分是证券侵权行为民事责任的基本理论,此部分主要是对证券侵权行为及其责任的概念、类型划分等基本问题进行梳理,对证券侵权行为民事责任有初步的了解。第二部分是各具体类型的侵权行为及其民事责任,此部分为论述的重点,即对实践中各种具体类型的证券侵权行为构成要件进行探讨,以期对实践有所指导。第三部分是我国证券侵权行为民事责任现状及完善前瞻,通过前文对证券侵权行为民事责任的具体论述,结合我国目前证券侵权行为发展现状,提出简单的完善我国证券侵权行为民事责任制度的发展方向,并在最后结论部分予以体现。
[Abstract]:With the continuous development of economy and society, the securities market has gradually become an important part of the national economy, which affects the healthy development of the social economy. On the one hand, the existence of its own high profitability makes countless investors scramble for it. On the other hand, the high risk is daunting. Based on the characteristics of the securities market and the interest game among them, many illegal acts are often produced to protect their own interests and damage the legitimate rights and interests of others, which can be called securities infringement acts. This will undoubtedly destroy the good order of the securities market and even the development of the entire economic environment. Therefore, it is necessary to regulate the securities market by using the perfect legal system. In the course of the legal adjustment of the securities market in China, it has been shown that the relief of public law is more important than that of private law, that is, the perpetrator of securities tort is often subject to administrative punishment or criminal punishment. It is true that relief in public law does have a great deterrent effect and disciplinary effect, but it often ignores the protection of the legitimate rights and interests of investors, an important group in the stock market in general. The property losses they suffered as a result of the infringement of securities cannot be effectively compensated, so that the protection of the legitimate rights and interests of investors cannot be realized. The legal system which can compensate for the damage is the civil liability system which has long been neglected by the judicial practice of our country. From the point of view of protecting the legitimate rights and interests of investors, this paper probes into the civil liability system of securities tort, and tries to have a deeper understanding of the civil liability for illegal acts in securities law. This paper is divided into three parts. The first part is the basic theory of civil liability of securities tort. A preliminary understanding of civil liability for securities infringement. The second part is each specific type of tort and its civil liability, this part is the focus of the discussion, that is, the practice of various specific types of securities tort elements are discussed, in order to guide the practice. The third part is the present situation of the civil liability of securities tort in our country and the prospect of perfection, through the specific exposition of the civil liability of securities tort, combined with the current situation of the development of securities tort in our country. The development direction of the civil liability system of securities tort in China is put forward, which is reflected in the final conclusion.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287;D923

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