证券经纪人违信责任研究

发布时间：2019-06-24 18:47

【摘要】：在我国证券市场发展突飞猛进的同时，证券市场的违法行为也如影随形，其中证券经纪人违信行为更是频频发生。证券经纪人违信责任是指证券经纪人违反法定或约定义务，侵害他人合法权益，造成他人损失而应承担的民事责任。证券经纪人违信责任是一种损害赔偿责任；是一种严格代理责任；是一种兼具违约与侵权的民事责任。证券经纪人违信责任的承担主体是证券经纪人包括证券公司和个人证券经纪人。证券经纪人违信责任与证券欺诈民事责任具有很多相似之处，我们必须明确两者之间的区别，才能更好的借鉴证券欺诈民事责任制度，完善证券经纪人违信责任制度。证券经纪人违信责任的构成必须满足以下要素：证券经纪人违法或违约行为的先前存在；受害人损害已为既定事实；证券经纪人之违信行为与受害人之损害存在因果关系；证券经纪人存在过错。确定证券经纪人违信责任的归责原则具有重要价值和现实意义，应该按照严格责任原则，根据证券经纪人具体违信行为进行具体分析。证券经纪活动必须经过开户委托、授权交易、竞价成交、清算交割四个基本的环节才能完成交易，那么对证券经纪人违信责任的研究，理所当然要从证券经纪的活动过程中去认定。证券经纪人违信责任的形式包括违约责任或侵权责任。证券经纪人存在共同违信行为时，共同违信行为人存在责任分担关系和责任范围的划分。此外，我国可以借鉴国外立法及理论中，证券经纪人违信责任免责的事由和特定条件。
[Abstract]:With the rapid development of China's securities market, the illegal behavior of the securities market is also following, among which the illegal behavior of securities brokers occurs frequently. The liability of securities broker for breach of trust refers to the civil liability of securities broker for violating legal or contractual obligations, infringing on the legitimate rights and interests of others and causing losses to others. The liability of securities broker for breach of trust is a kind of liability for damages; it is a kind of strict agency liability; it is a kind of civil liability with both breach of contract and tort. The main body of the liability of securities brokers for breach of trust is securities brokers, including securities companies and individual securities brokers. There are many similarities between the breach of trust liability of securities brokers and the civil liability of securities fraud. We must make clear the difference between the two in order to better draw lessons from the civil liability system of securities fraud and improve the liability system of securities brokers for breach of trust. The composition of the breach of trust liability of securities brokers must meet the following elements: the prior existence of illegal or default acts of securities brokers; the damage of victims is an established fact; there is a causal relationship between the breach of trust of securities brokers and the damage of victims; and there is a fault of securities brokers. It is of great value and practical significance to determine the imputation principle of securities broker's breach of trust liability. According to the principle of strict liability, the concrete analysis should be carried out according to the specific breach of trust behavior of securities broker. Securities brokerage activities must be commissioned by the opening of accounts, authorized transactions, bidding transactions, liquidation and delivery of four basic links to complete the transaction, then the study of the liability of securities brokers for breach of trust, of course, should be determined from the process of securities brokerage activities. The form of breach of trust liability of securities broker includes breach of contract liability or tort liability. When there is a joint breach of trust by a securities broker, there is a division of responsibility sharing and scope of responsibility between the joint breach of trust and the scope of responsibility. In addition, China can draw lessons from foreign legislation and theory, securities brokers breach of trust liability exemption and specific conditions.
【学位授予单位】：湖南大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287

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