【摘要】：證券市場(chǎng)隨著經(jīng)濟(jì)社會(huì)的不斷發(fā)展逐漸成為國(guó)民經(jīng)濟(jì)的重要組成部分,影響著社會(huì)經(jīng)濟(jì)的健康發(fā)展,一方面其自身存在的高收益性使無(wú)數(shù)投資者趨之若鶩,另一方面高風(fēng)險(xiǎn)性又讓人對(duì)之望而生畏。基于證券市場(chǎng)的特點(diǎn)和當(dāng)中的利益博弈,常會(huì)產(chǎn)生許多為保護(hù)自身利益而損害他人合法權(quán)益的違法行為,可稱之為證券侵權(quán)行為,這無(wú)疑會(huì)破壞良好的證券市場(chǎng)秩序乃至整個(gè)經(jīng)濟(jì)環(huán)境的發(fā)展。因此,利用完善的法律制度調(diào)整規(guī)范證券市場(chǎng)是十分必要的。 在我國(guó)對(duì)證券市場(chǎng)進(jìn)行法律調(diào)整的發(fā)展過(guò)程中,一直呈現(xiàn)重公法救濟(jì)、輕私法救濟(jì)的特點(diǎn),即對(duì)于證券侵權(quán)行為的行為人常課以行政處罰或刑事處罰。的確,公法上的救濟(jì)的確能起到很大的威懾作用及懲戒效果,但往往忽視了對(duì)證券市場(chǎng)總的重要群體--投資者合法權(quán)益的保護(hù),他們因證券侵權(quán)行為而遭受的財(cái)產(chǎn)損失無(wú)法得到切實(shí)的彌補(bǔ),使投資者合法權(quán)益的保護(hù)無(wú)法落到實(shí)處,而能夠起到補(bǔ)償損害作用的法律制度是被我國(guó)司法實(shí)踐長(zhǎng)期忽視的民事責(zé)任制度。 本文從保護(hù)投資者合法權(quán)益的角度出發(fā),探求證券侵權(quán)行為民事責(zé)任制度,力求對(duì)證券法中違法行為的民事責(zé)任有更深層次的了解。本文共分為三大部分,第一部分是證券侵權(quán)行為民事責(zé)任的基本理論,此部分主要是對(duì)證券侵權(quán)行為及其責(zé)任的概念、類型劃分等基本問(wèn)題進(jìn)行梳理,對(duì)證券侵權(quán)行為民事責(zé)任有初步的了解。第二部分是各具體類型的侵權(quán)行為及其民事責(zé)任,此部分為論述的重點(diǎn),即對(duì)實(shí)踐中各種具體類型的證券侵權(quán)行為構(gòu)成要件進(jìn)行探討,以期對(duì)實(shí)踐有所指導(dǎo)。第三部分是我國(guó)證券侵權(quán)行為民事責(zé)任現(xiàn)狀及完善前瞻,通過(guò)前文對(duì)證券侵權(quán)行為民事責(zé)任的具體論述,結(jié)合我國(guó)目前證券侵權(quán)行為發(fā)展現(xiàn)狀,提出簡(jiǎn)單的完善我國(guó)證券侵權(quán)行為民事責(zé)任制度的發(fā)展方向,并在最后結(jié)論部分予以體現(xiàn)。
[Abstract]:With the continuous development of economy and society, the securities market has gradually become an important part of the national economy, which affects the healthy development of the social economy. On the one hand, the existence of its own high profitability makes countless investors scramble for it. On the other hand, the high risk is daunting. Based on the characteristics of the securities market and the interest game among them, many illegal acts are often produced to protect their own interests and damage the legitimate rights and interests of others, which can be called securities infringement acts. This will undoubtedly destroy the good order of the securities market and even the development of the entire economic environment. Therefore, it is necessary to regulate the securities market by using the perfect legal system. In the course of the legal adjustment of the securities market in China, it has been shown that the relief of public law is more important than that of private law, that is, the perpetrator of securities tort is often subject to administrative punishment or criminal punishment. It is true that relief in public law does have a great deterrent effect and disciplinary effect, but it often ignores the protection of the legitimate rights and interests of investors, an important group in the stock market in general. The property losses they suffered as a result of the infringement of securities cannot be effectively compensated, so that the protection of the legitimate rights and interests of investors cannot be realized. The legal system which can compensate for the damage is the civil liability system which has long been neglected by the judicial practice of our country. From the point of view of protecting the legitimate rights and interests of investors, this paper probes into the civil liability system of securities tort, and tries to have a deeper understanding of the civil liability for illegal acts in securities law. This paper is divided into three parts. The first part is the basic theory of civil liability of securities tort. A preliminary understanding of civil liability for securities infringement. The second part is each specific type of tort and its civil liability, this part is the focus of the discussion, that is, the practice of various specific types of securities tort elements are discussed, in order to guide the practice. The third part is the present situation of the civil liability of securities tort in our country and the prospect of perfection, through the specific exposition of the civil liability of securities tort, combined with the current situation of the development of securities tort in our country. The development direction of the civil liability system of securities tort in China is put forward, which is reflected in the final conclusion.
【學(xué)位授予單位】：大連海事大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類號(hào)】：D922.287;D923

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