【摘要】：證券市場虛假陳述行為作為證券市場中一種常見的但又危害及其嚴重的現(xiàn)象,對于證券市場的平穩(wěn)運行以及投資者的合法權益有著巨大的危害。通過民事賠償制度來對欺詐行為人進行處罰并對受害人的經(jīng)濟利益進行補償,是一種能夠懲惡揚善,震懾不法分子,又能切實可行的平衡雙方利益的有效手段。目前,我國在這方面的立法和實踐中尚存在著諸多問題亟待解決,本文主要通過對我國目前證券法律法規(guī)對于虛假陳述行為民事賠償?shù)囊?guī)定,重點針對在實踐中有較多爭議的前置程序、歸責原則、因果關系、損害賠償、訴訟模式的確定方面做出理論性的分析,并結合國外民事賠償制度,以期能對我國證券市場虛假陳述民事賠償制度提出合理可行的完善建議,更好的保護證券市場投資者的利益。全文共分為五章:第一章是緒論。主要介紹了本文的選題背景、選題意義、文獻綜述、寫作思路及方法和本文的創(chuàng)新點及不足。第二章是證券虛假陳述民事賠償制度的基本理論。本章首先分析介紹了證券虛假陳述民事賠償?shù)母拍?具體包括了虛假陳述的概念、虛假陳述的表現(xiàn)形式以及虛假陳述民事賠償?shù)母拍?其次,還介分析了虛假陳述民事賠償不同于其他民事賠償?shù)奶卣?最后,分析了虛假陳述民事賠償責任在理論界中被認為是契約責任、侵權責任和獨立責任的三種學說。通過以上基本理論的介紹為下文的研究分析作理論上的儲備。第三章是我國證券虛假陳述民事賠償制度的現(xiàn)狀及問題。本章主要是對我國目前的虛假陳述民事賠償?shù)姆梢?guī)定以及國內(nèi)學者的一些理論研究,分別從前置程序、歸責原則、因果關系、損害賠償以及訴訟模式的確定等方面進行論證,并結合司法實踐中的一些經(jīng)驗,分析現(xiàn)有法律制度存在的優(yōu)勢與缺陷,最后綜合上述意見,總結出我國目前虛假陳述民事賠償制度所需要解決的五個問題。第四章是境外證券虛假陳述民事賠償制度經(jīng)驗借鑒。本章主要是介紹了美國、日本以及我國臺灣地區(qū)的證券民事賠償制度的發(fā)展歷程,以及現(xiàn)有的關于虛假陳述行為的具體法律規(guī)制和民事賠償制度,通過學習和借鑒其他國家和地區(qū)的關于證券欺詐民事賠償?shù)姆芍贫?以期開闊視野,了解不同法律規(guī)定的長短優(yōu)劣,為我國證券法律制度的完善提供經(jīng)驗。第五章是我國證券虛假陳述民事賠償制度的完善。本章主要從實體法角度和程序法角度兩個方面,根據(jù)在第三章中提出的我國虛假陳述民事賠償制度所存在的問題,結合第四章中域外國家和地區(qū)的一些寶貴經(jīng)驗,來對我國證券民事賠償制度提出修改和完善的方法,以期能使虛假陳述民事賠償制度能在我國更好地開展下去。
[Abstract]:As a common but harmful phenomenon in the securities market, the misrepresentation of the securities market has great harm to the smooth operation of the securities market and the legitimate rights and interests of the investors. It is an effective way to punish the deceiver and compensate the economic benefit of the victim through the civil compensation system, which can punish the evil and promote the good, deter the lawless, and balance the interests of both sides. At present, there are still many problems to be solved in our country's legislation and practice. Focusing on the preprocedure, the principle of imputation, the causality, the compensation for damages, the determination of the litigation mode, and combining with the foreign civil compensation system, the author focuses on the theoretical analysis of the preprocedure, the principle of attribution, the causality, the compensation for damages and the determination of the litigation mode, In order to put forward reasonable and feasible suggestions to the civil compensation system of misrepresentation in China's securities market and better protect the interests of investors in the securities market. The full text is divided into five chapters: the first chapter is an introduction. This paper mainly introduces the background, significance, literature review, writing ideas and methods, innovation and shortcomings of this paper. The second chapter is the basic theory of civil compensation system of securities misrepresentation. This chapter firstly introduces the concept of civil compensation for securities misrepresentation, including the concept of false statement, the expression of false statement and the concept of civil compensation for false statement. It also analyzes the characteristics of misrepresentation civil compensation different from other civil compensation. Finally, it analyzes the three theories that false statement civil compensation liability is regarded as contractual liability, tort liability and independent liability in the theoretical circle. Through the introduction of the above basic theory for the following research and analysis to make theoretical reserves. The third chapter is the current situation and problems of civil compensation system of securities misrepresentation in China. This chapter is mainly about the legal provisions of civil compensation for misrepresentation in our country and some theoretical studies of domestic scholars, respectively, from the aspects of pre-procedure, imputation principle, causality, compensation for damages and the determination of litigation mode, etc. Combined with some experience in judicial practice, this paper analyzes the advantages and disadvantages of the existing legal system, and finally summarizes the five problems that need to be solved in the current civil compensation system of false statements. The fourth chapter is the experience of foreign securities misrepresentation civil compensation system. This chapter mainly introduces the development of the securities civil compensation system in the United States, Japan and Taiwan, as well as the existing specific legal regulation and civil compensation system on misrepresentation. By studying and drawing lessons from the legal system of civil compensation for securities fraud in other countries and regions, we hope to broaden our vision, understand the advantages and disadvantages of different legal provisions, and provide experience for the perfection of our country's securities legal system. The fifth chapter is the perfection of civil compensation system of securities misrepresentation in our country. This chapter mainly from the substantive law angle and the procedural law angle, according to the third chapter proposed in our country false statement civil compensation system existence question, unifies the fourth chapter in the foreign country and the region some valuable experience, In order to make the civil compensation system of false statement develop better in our country, this paper puts forward the methods of modifying and perfecting the civil compensation system of securities in our country.
【學位授予單位】：上海師范大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D922.287

【參考文獻】

相關期刊論文 前10條

1 湯欣;高海濤;;證券市場操縱行為認定研究——行政處罰案例的視角[J];當代法學;2016年04期

2 岳冰;;證券欺詐民事救濟的困境與出路[J];河南財經(jīng)政法大學學報;2016年01期

3 陳穎;周晗燕;;我國證券民事賠償法律制度之完善[J];公民與法(法學版);2015年12期

4 周平奇;;證券法修改背景下虛假陳述民事責任立法[J];華中師范大學研究生學報;2015年02期

5 廖銘輝;;證券欺詐訴訟之比較法視野——以我國臺灣地區(qū)證券投資人團體訴訟制度為核心之探討[J];貴陽學院學報(社會科學版);2015年01期

6 賈緯;;證券市場侵權民事責任之完善[J];法律適用;2014年07期

7 張春麗;;論我國證券欺詐賠償責任機制的完善[J];法律科學(西北政法大學學報);2014年03期

8 甘培忠;彭運朋;;論證券虛假陳述民事賠償中系統(tǒng)風險所致?lián)p失數(shù)額的認定[J];甘肅社會科學;2014年01期

9 樊紀偉;;日本金融商品交易欺詐民事責任制度及其借鑒[J];經(jīng)濟法論叢;2013年02期

10 黃輝;;中國證券虛假陳述民事賠償制度:實證分析與政策建議[J];證券法苑;2013年02期

相關重要報紙文章 前3條

1 劉文;;前置程序成歷史 證券民事賠償之路向何方？[N];證券時報;2016年

2 李培華;殷進亮;;完善證券法民事賠償規(guī)則的思考[N];人民法院報;2014年

3 張煒;;證券民事賠償遭遇困境[N];中國經(jīng)濟時報;2013年

相關博士學位論文 前1條

1 劉艷軍;論證券欺詐訴訟[D];西南政法大學;2007年

相關碩士學位論文 前4條

1 張卓穎;論我國證券欺詐群體訴訟制度的構建與完善[D];華東政法大學;2014年

2 孫榕;論證券市場虛假陳述民事責任[D];山東大學;2014年

3 史麗玲;證券虛假陳述民事責任問題研究[D];華東政法大學;2013年

4 洪海濤;論我國證券民事賠償訴訟模式[D];復旦大學;2011年

，

本文編號：2285630