本文選題：證券交易 + 證券違法行為　； 參考：《西南政法大學(xué)》2013年碩士論文

【摘要】：證券違法交易行為長期以來都是困擾證券市場的一大難題，嚴(yán)重破壞了證券市場的市場秩序，對大眾投資者的利益造成了極大損害，危害證券市場健康有序地發(fā)展，因此幾乎所有國家都通過立法對證券違法交易行為予以禁止。我國的證券市場經(jīng)歷了二十余年的發(fā)展，取得了相當(dāng)?shù)某删�，在立法水平、制度建設(shè)等方面都有顯著提高。長期以來，我國一直堅持反對證券違法交易行為，且不斷加大對證券違法交易行為的打擊力度。然而在當(dāng)前形勢下，由于規(guī)制證券交易的立法以及監(jiān)管體系還不怎么完備，而且目前仍然欠缺規(guī)制證券違法交易行為的民事責(zé)任制度，這些都在一定程度上影響著規(guī)制證券違法交易行為的力度。 本文通過分析證券違法交易行為的類型著手，比較分析了民事責(zé)任的補(bǔ)償性功能與懲罰性功能，得出民事責(zé)任的懲罰性功能是規(guī)制證券違法交易行為的最佳方式，提出將懲罰性賠償功能引入到證券違法交易的規(guī)制中的設(shè)想，并以此為角度對我國在保護(hù)證券投資者合法權(quán)益方面進(jìn)行一定的思考，意在于我國的證券市場構(gòu)建完備的懲罰性賠償制度，以達(dá)到更好的保護(hù)證券投資者合法權(quán)益，以及有利于證券市場的較好較快發(fā)展的雙重目的。 除了引言和結(jié)語之外，筆者將本文分為四個部分： 引言概述了本文選題的背景及意義，并概括了該選題的國內(nèi)外研究綜述，提出了本文的創(chuàng)新之處。 第一部分主要概括分析了證券違法交易行為的類型，分別是內(nèi)幕交易行為、操縱市場行為、虛假陳述行為、欺詐客戶行為，以及其他證券違規(guī)行為，目的通過對各種證券違法交易行為的分析得出規(guī)制每一種證券違法交易行為的必要性，，為下文的論述作了鋪墊。 第二部分則對證券民事責(zé)任制度進(jìn)行了介紹，筆者分別對證券民事責(zé)任制度進(jìn)行了概述，然后比較分析了證券民事責(zé)任制度中懲罰性賠償制度與補(bǔ)償性賠償制度的優(yōu)劣，并得出懲罰性賠償制度是保護(hù)證券投資者合法權(quán)益的最有效方式。 第三部分是對證券懲罰性賠償制度的歸責(zé)原則以及構(gòu)成要件進(jìn)行了適度的分析，借鑒美國的先進(jìn)經(jīng)驗，概括總結(jié)得出我國證券懲罰性賠償制度的構(gòu)成要件。 第四部分則分析了我國在證券交易領(lǐng)域構(gòu)建證券懲罰性賠償制度的必要性與可行性，并對構(gòu)建證券懲罰性賠償制度提出了自己的設(shè)想，最后對完善我國證券懲罰性賠償制度提出了自己的思考，以求對我國保護(hù)證券投資者合法權(quán)益有所裨益。 結(jié)語部分總結(jié)了本文的主要研究內(nèi)容，并基于對前文的研究分析，重申了我國在證券交易市場中引入懲罰性賠償制度的緊迫性與必要性。
[Abstract]:For a long time, illegal securities trading has been a difficult problem that has troubled the securities market. It has seriously damaged the market order of the securities market, caused great harm to the interests of the public investors, and endangered the healthy and orderly development of the securities market.Therefore, almost all countries have passed legislation to prohibit illegal trading of securities.China's securities market has experienced more than 20 years of development, has made considerable achievements, in the legislative level, system construction and other aspects have significantly improved.For a long time, our country has always opposed the illegal trading of securities, and has been increasing the crackdown on the illegal trading of securities.However, under the current situation, because the legislation and supervision system of regulating securities trading is not complete, and there is still no civil liability system to regulate the illegal trading of securities.To a certain extent, these all affect the regulation of illegal trading of securities.By analyzing the types of securities illegal trading, this paper compares the compensatory and punitive functions of civil liability, and concludes that the punitive function of civil liability is the best way to regulate securities illegal trading.This paper puts forward the idea of introducing the punitive damages function into the regulation of illegal securities trading, and from this point of view, gives some thoughts on the protection of the legitimate rights and interests of securities investors.The purpose of this paper is to establish a complete punitive damages system in China's securities market in order to better protect the legitimate rights and interests of securities investors and to benefit the better and faster development of the securities market.In addition to the introduction and conclusion, the author divides this article into four parts:The introduction summarizes the background and significance of this topic, summarizes the domestic and foreign research on this topic, and puts forward the innovation of this paper.The first part summarizes the types of securities illegal trading, including insider trading, market manipulation, misrepresentation, customer fraud, and other securities irregularities.Objective to find out the necessity of regulating each kind of illegal securities trading behavior through the analysis of all kinds of securities illegal trading behavior, and to pave the way for the following discussion.The second part introduces the securities civil liability system, the author summarizes the securities civil liability system, and then compares the advantages and disadvantages of the punitive damages system and the compensatory compensation system in the securities civil liability system.And the punitive damages system is the most effective way to protect the legitimate rights and interests of securities investors.The third part is a moderate analysis of the liability principle and the constitutive elements of the securities punitive damages system, draw lessons from the advanced experience of the United States, summed up the elements of the securities punitive damages system in China.The fourth part analyzes the necessity and feasibility of establishing the securities punitive damages system in the field of securities trading in China, and puts forward its own ideas for the construction of the securities punitive damages system.Finally, the author puts forward his own thoughts on perfecting the system of punitive damages of securities in China, in order to benefit the protection of the legitimate rights and interests of securities investors.The conclusion part summarizes the main research contents of this paper, and based on the above research and analysis, reiterates the urgency and necessity of introducing punitive damages system in the stock exchange market in our country.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D923;D922.287

【參考文獻(xiàn)】

相關(guān)期刊論文 前2條

1 王利明;我國證券法中民事責(zé)任制度的完善[J];法學(xué)研究;2001年04期

2 周友蘇,羅華蘭;論證券民事責(zé)任[J];中國法學(xué);2000年04期

本文編號：1773005