發(fā)布時(shí)間：2018-10-21 16:05

【摘要】：證券市場(chǎng)虛假陳述行為作為證券市場(chǎng)中一種常見(jiàn)的但又危害及其嚴(yán)重的現(xiàn)象,對(duì)于證券市場(chǎng)的平穩(wěn)運(yùn)行以及投資者的合法權(quán)益有著巨大的危害。通過(guò)民事賠償制度來(lái)對(duì)欺詐行為人進(jìn)行處罰并對(duì)受害人的經(jīng)濟(jì)利益進(jìn)行補(bǔ)償,是一種能夠懲惡揚(yáng)善,震懾不法分子,又能切實(shí)可行的平衡雙方利益的有效手段。目前,我國(guó)在這方面的立法和實(shí)踐中尚存在著諸多問(wèn)題亟待解決,本文主要通過(guò)對(duì)我國(guó)目前證券法律法規(guī)對(duì)于虛假陳述行為民事賠償?shù)囊?guī)定,重點(diǎn)針對(duì)在實(shí)踐中有較多爭(zhēng)議的前置程序、歸責(zé)原則、因果關(guān)系、損害賠償、訴訟模式的確定方面做出理論性的分析,并結(jié)合國(guó)外民事賠償制度,以期能對(duì)我國(guó)證券市場(chǎng)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(hù)證券市場(chǎng)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(xiàn)綜述、寫(xiě)作思路及方法和本文的創(chuàng)新點(diǎn)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(zé)任在理論界中被認(rèn)為是契約責(zé)任、侵權(quán)責(zé)任和獨(dú)立責(zé)任的三種學(xué)說(shuō)。通過(guò)以上基本理論的介紹為下文的研究分析作理論上的儲(chǔ)備。第三章是我國(guó)證券虛假陳述民事賠償制度的現(xiàn)狀及問(wèn)題。本章主要是對(duì)我國(guó)目前的虛假陳述民事賠償?shù)姆梢?guī)定以及國(guó)內(nèi)學(xué)者的一些理論研究,分別從前置程序、歸責(zé)原則、因果關(guān)系、損害賠償以及訴訟模式的確定等方面進(jìn)行論證,并結(jié)合司法實(shí)踐中的一些經(jīng)驗(yàn),分析現(xiàn)有法律制度存在的優(yōu)勢(shì)與缺陷,最后綜合上述意見(jiàn),總結(jié)出我國(guó)目前虛假陳述民事賠償制度所需要解決的五個(gè)問(wèn)題。第四章是境外證券虛假陳述民事賠償制度經(jīng)驗(yàn)借鑒。本章主要是介紹了美國(guó)、日本以及我國(guó)臺(tái)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(guān)于虛假陳述行為的具體法律規(guī)制和民事賠償制度,通過(guò)學(xué)習(xí)和借鑒其他國(guó)家和地區(qū)的關(guān)于證券欺詐民事賠償?shù)姆芍贫?以期開(kāi)闊視野,了解不同法律規(guī)定的長(zhǎng)短優(yōu)劣,為我國(guó)證券法律制度的完善提供經(jīng)驗(yàn)。第五章是我國(guó)證券虛假陳述民事賠償制度的完善。本章主要從實(shí)體法角度和程序法角度兩個(gè)方面,根據(jù)在第三章中提出的我國(guó)虛假陳述民事賠償制度所存在的問(wèn)題,結(jié)合第四章中域外國(guó)家和地區(qū)的一些寶貴經(jīng)驗(yàn),來(lái)對(duì)我國(guó)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(guó)更好地開(kāi)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(xué)位授予單位】：上海師范大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類(lèi)號(hào)】：D922.287

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 湯欣;高海濤;;證券市場(chǎng)操縱行為認(rèn)定研究——行政處罰案例的視角[J];當(dāng)代法學(xué);2016年04期

2 岳冰;;證券欺詐民事救濟(jì)的困境與出路[J];河南財(cái)經(jīng)政法大學(xué)學(xué)報(bào);2016年01期

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

4 周平奇;;證券法修改背景下虛假陳述民事責(zé)任立法[J];華中師范大學(xué)研究生學(xué)報(bào);2015年02期

5 廖銘輝;;證券欺詐訴訟之比較法視野——以我國(guó)臺(tái)灣地區(qū)證券投資人團(tuán)體訴訟制度為核心之探討[J];貴陽(yáng)學(xué)院學(xué)報(bào)(社會(huì)科學(xué)版);2015年01期

6 賈緯;;證券市場(chǎng)侵權(quán)民事責(zé)任之完善[J];法律適用;2014年07期

7 張春麗;;論我國(guó)證券欺詐賠償責(zé)任機(jī)制的完善[J];法律科學(xué)(西北政法大學(xué)學(xué)報(bào));2014年03期

8 甘培忠;彭運(yùn)朋;;論證券虛假陳述民事賠償中系統(tǒng)風(fēng)險(xiǎn)所致?lián)p失數(shù)額的認(rèn)定[J];甘肅社會(huì)科學(xué);2014年01期

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

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

相關(guān)重要報(bào)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(shí)報(bào);2016年

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

3 張煒;;證券民事賠償遭遇困境[N];中國(guó)經(jīng)濟(jì)時(shí)報(bào);2013年

相關(guān)博士學(xué)位論文 前1條

1 劉艷軍;論證券欺詐訴訟[D];西南政法大學(xué);2007年

相關(guān)碩士學(xué)位論文 前4條

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

2 孫榕;論證券市場(chǎng)虛假陳述民事責(zé)任[D];山東大學(xué);2014年

3 史麗玲;證券虛假陳述民事責(zé)任問(wèn)題研究[D];華東政法大學(xué);2013年

4 洪海濤;論我國(guó)證券民事賠償訴訟模式[D];復(fù)旦大學(xué);2011年

，

本文編號(hào)：2285631