操纵证券市场民事责任因果关系研究
发布时间：2019-03-28 10:41
【摘要】：随着证券市场的发展,证券市场违法行为逐渐成了我国学术界讨论的热点话题之一。但是相比较而言,探讨证券市场操纵行为方面的文章比虚假陈述、内幕交易的著述要少得多。而且我国法学理论界对操纵证券市场行为的研究又主要集中于市场操纵行为本身,对于市场操纵行为的民事责任并末给予足够的重视,更别说操纵证券市场民事责任因果关系的认定规则了。 有鉴于此,笔者认为研究证券市场操纵行为的民事责任之因果关系认定规则,是保证我国资本市场健康发展的必要研究课题之一。 本文以用“抢帽子”方式操纵证券市场赔偿纠纷第一案,即股民王某诉北京首放投资公司执行董事汪建中操纵证券市场赔偿纠纷案之败诉原因分析为引；运用比较分析法,逻辑分析法,规范分析法,实证分析法等研究方法；通过论述市场操纵行为及其民事责任因果关系认定之基本理论,借鉴成熟证券市场国家的先进经验,提出了完善我国操纵行为民事责任因果关系认定规则的具体建议,对完善操纵证券市场民事责任因果关系认定规则的目的、原则与具体规定等方面进行了详细的论述,形成了一个较为完整的体系。 通过本文研究,希望能够弥补我国有关操纵证券市场民事责任因果关系研究上的一些不足,并希望可以为相应的司法实践提供一定的理论支持。
[Abstract]:With the development of the securities market, the illegal behavior of the securities market has gradually become one of the hot topics discussed in the academic circles of our country. By contrast, there are far fewer articles on securities market manipulation than false statements and insider trading. Moreover, the research on the manipulation of the securities market is mainly focused on the market manipulation itself, and the civil liability of the market manipulation is paid enough attention to at the end of the paper. Let alone the rules of determining the causation of civil liability in the manipulation of the securities market. In view of this, the author thinks that it is one of the necessary research topics to ensure the healthy development of our country's capital market to study the rules of determining the causation of the civil liability of the manipulation of the securities market. This article takes the first case of manipulating the compensation dispute of the securities market by the way of "seizing the hat", namely Wang Jianzhong, executive director of Beijing Capital Investment Company, against Wang Jianzhong, executive director of Beijing Shou Fang Investment Company, and analyzes the reasons for the failure of the dispute over the manipulation of compensation in the securities market. Application of comparative analysis, logical analysis, normative analysis, empirical analysis and other research methods; This paper discusses the basic theory of market manipulation and the causation of civil liability, draws lessons from the advanced experience of mature securities market countries, and puts forward concrete suggestions to perfect the rules of determining civil liability causality of manipulation in China. This paper discusses in detail the purpose, principle and specific rules of determining civil liability causality in securities market manipulation, and forms a relatively complete system. Through this study, I hope to make up for some deficiencies in the study of civil liability causality in securities market manipulation in China, and hope to provide some theoretical support for the corresponding judicial practice.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287;D923
本文编号：2448788
[Abstract]:With the development of the securities market, the illegal behavior of the securities market has gradually become one of the hot topics discussed in the academic circles of our country. By contrast, there are far fewer articles on securities market manipulation than false statements and insider trading. Moreover, the research on the manipulation of the securities market is mainly focused on the market manipulation itself, and the civil liability of the market manipulation is paid enough attention to at the end of the paper. Let alone the rules of determining the causation of civil liability in the manipulation of the securities market. In view of this, the author thinks that it is one of the necessary research topics to ensure the healthy development of our country's capital market to study the rules of determining the causation of the civil liability of the manipulation of the securities market. This article takes the first case of manipulating the compensation dispute of the securities market by the way of "seizing the hat", namely Wang Jianzhong, executive director of Beijing Capital Investment Company, against Wang Jianzhong, executive director of Beijing Shou Fang Investment Company, and analyzes the reasons for the failure of the dispute over the manipulation of compensation in the securities market. Application of comparative analysis, logical analysis, normative analysis, empirical analysis and other research methods; This paper discusses the basic theory of market manipulation and the causation of civil liability, draws lessons from the advanced experience of mature securities market countries, and puts forward concrete suggestions to perfect the rules of determining civil liability causality of manipulation in China. This paper discusses in detail the purpose, principle and specific rules of determining civil liability causality in securities market manipulation, and forms a relatively complete system. Through this study, I hope to make up for some deficiencies in the study of civil liability causality in securities market manipulation in China, and hope to provide some theoretical support for the corresponding judicial practice.
【学位授予单位】：兰州大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287;D923
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