【摘要】：隨著電子計(jì)算機(jī)技術(shù)的應(yīng)用和電子互聯(lián)網(wǎng)技術(shù)的普及，以計(jì)算機(jī)技術(shù)為基礎(chǔ)的互聯(lián)網(wǎng)性質(zhì)的證券交易已經(jīng)成為證券市場(chǎng)的主體，中國(guó)的證券市場(chǎng)更是在短短20年的時(shí)間里完全實(shí)現(xiàn)了證券的無(wú)紙化。 中國(guó)資本市場(chǎng)的發(fā)展，，信息化和無(wú)紙化為證券權(quán)利人的證券交易帶來(lái)了無(wú)限便利，但是由于無(wú)紙化證券信息先天具有易篡改的特性，自然降低了信息發(fā)布者發(fā)布虛假信息的成本，增大了證券權(quán)利人對(duì)于有效證券信息的甄別難度。互聯(lián)網(wǎng)極強(qiáng)的迅捷性、隱蔽性及自身的安全性問(wèn)題增加了證券市場(chǎng)的系統(tǒng)性風(fēng)險(xiǎn)和非系統(tǒng)性風(fēng)險(xiǎn)，也加大了證券監(jiān)管機(jī)構(gòu)的監(jiān)管難度，極易損害證券權(quán)利人的合法權(quán)益。 本文以信息時(shí)代的證券信息披露為研究對(duì)象，力圖從完善證券信息披露法律制度的構(gòu)建角度來(lái)探索這個(gè)問(wèn)題，除了序言和結(jié)語(yǔ)以外，全文共分四個(gè)部分。在第一部分里，筆者探究了信息時(shí)代無(wú)紙化證券的基本理論問(wèn)題，從無(wú)紙化證券的內(nèi)涵、產(chǎn)生與發(fā)展、基本法律特征等方面加以詳細(xì)闡述；第二部分中筆者對(duì)我國(guó)目前的信息披露狀況做出了具體描述，包括證券市場(chǎng)多元化的信息披露義務(wù)主體及其義務(wù)、目前我國(guó)證券信息披露過(guò)程中較易出現(xiàn)的問(wèn)題等；第三部分在力求描述準(zhǔn)確的基礎(chǔ)上，梳理美國(guó)在證券信息披露方面的法律制度和實(shí)踐經(jīng)驗(yàn)，主要側(cè)重從它的證券信息披露實(shí)踐入手，列舉美國(guó)在完善無(wú)紙化證券信息披露上的一些制度；在最后一部分中，筆者在前文論述的基礎(chǔ)上，進(jìn)而提出在信息時(shí)代的大背景下，無(wú)紙化證券權(quán)利人保護(hù)視域下的信息披露法律制度亟待從立法體系、執(zhí)法監(jiān)管完善、對(duì)相關(guān)市場(chǎng)主體的法律規(guī)制等方面進(jìn)行完善的建議。 除此之外，我們還應(yīng)該認(rèn)識(shí)到，完善信息披露機(jī)制，保護(hù)無(wú)紙化證券權(quán)利人的權(quán)利是一項(xiàng)系統(tǒng)工程，并不能僅僅依靠法律和制度本身，從立法、執(zhí)法、監(jiān)管等各方面進(jìn)行完善也應(yīng)當(dāng)是其中的一個(gè)重要方面。本文將對(duì)完善信息時(shí)代證券權(quán)利人保護(hù)及健全信息披露法律制度具有一定的理論和實(shí)踐意義。
[Abstract]:With the application of electronic computer technology and the popularization of electronic Internet technology, the securities trading based on the computer technology has become the main body of the securities market. China's securities market has completely realized the paperless securities in a short period of 20 years.
The development of China's capital market, information and paperless has brought unlimited convenience to the securities trading of the securities holders. However, because of the innate characteristics of the innate information of the paperless securities, it naturally reduces the cost of information publishers to publish false information and increases the difficulty of identifying the effective securities information by the security holders. The very fast, concealed and self security problems increase the systematic and non systematic risks of the securities market, and increase the difficulty of the supervision of the securities regulators, which can easily damage the legitimate rights and interests of the securities holders.
Based on the information disclosure of information age as the research object, this paper tries to explore this problem from the angle of perfecting the legal system of securities information disclosure. Besides the preface and conclusion, the full text is divided into four parts. In the first part, the author explores the basic theoretical problems of paperless securities in the information age, from the paperless securities. The connotation, production and development, the basic legal characteristics and other aspects are elaborated in detail. In the second part, the author makes a specific description of the current information disclosure situation in our country, including the subject and obligation of the information disclosure obligation of the securities market diversification, and the problems which are easy to appear in the process of the disclosure of securities information in our country, and the third part On the basis of accurate description, the legal system and practical experience in the disclosure of securities information in the United States are combed, mainly focusing on the disclosure practice of its securities information, and enumerating some systems in the United States to perfect the information disclosure of paperless securities. In the last part, the writer puts forward the information on the basis of the previous article. Under the background of the times, the legal system of information disclosure under the protection of the paperless securities holder should be perfected from the legislative system, the law enforcement regulation and the legal regulation of the relevant market subjects.
In addition, we should also realize that improving the information disclosure mechanism and protecting the rights of the paperless securities holder is a systematic project. It should not only rely on the law and system itself, but also be an important aspect of the legislation, law enforcement, supervision and so on. This article will improve the securities rights holders in the information age. It is of theoretical and practical significance to protect and improve the legal system of information disclosure.
【學(xué)位授予單位】：中共中央黨校
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.287

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