【摘要】：隨著證券市場的發(fā)展,證券市場違法行為逐漸成了我國學術(shù)界討論的熱點話題之一。但是相比較而言,探討證券市場操縱行為方面的文章比虛假陳述、內(nèi)幕交易的著述要少得多。而且我國法學理論界對操縱證券市場行為的研究又主要集中于市場操縱行為本身,對于市場操縱行為的民事責任并末給予足夠的重視,更別說操縱證券市場民事責任因果關(guān)系的認定規(guī)則了。 有鑒于此,筆者認為研究證券市場操縱行為的民事責任之因果關(guān)系認定規(guī)則,是保證我國資本市場健康發(fā)展的必要研究課題之一。 本文以用“搶帽子”方式操縱證券市場賠償糾紛第一案,即股民王某訴北京首放投資公司執(zhí)行董事汪建中操縱證券市場賠償糾紛案之敗訴原因分析為引；運用比較分析法,邏輯分析法,規(guī)范分析法,實證分析法等研究方法；通過論述市場操縱行為及其民事責任因果關(guān)系認定之基本理論,借鑒成熟證券市場國家的先進經(jīng)驗,提出了完善我國操縱行為民事責任因果關(guān)系認定規(guī)則的具體建議,對完善操縱證券市場民事責任因果關(guān)系認定規(guī)則的目的、原則與具體規(guī)定等方面進行了詳細的論述,形成了一個較為完整的體系。 通過本文研究,希望能夠彌補我國有關(guān)操縱證券市場民事責任因果關(guān)系研究上的一些不足,并希望可以為相應(yīng)的司法實踐提供一定的理論支持。
[Abstract]:With the development of the securities market, the illegal behavior of the securities market has gradually become one of the hot topics discussed in the academic circles of our country. By contrast, there are far fewer articles on securities market manipulation than false statements and insider trading. Moreover, the research on the manipulation of the securities market is mainly focused on the market manipulation itself, and the civil liability of the market manipulation is paid enough attention to at the end of the paper. Let alone the rules of determining the causation of civil liability in the manipulation of the securities market. In view of this, the author thinks that it is one of the necessary research topics to ensure the healthy development of our country's capital market to study the rules of determining the causation of the civil liability of the manipulation of the securities market. This article takes the first case of manipulating the compensation dispute of the securities market by the way of "seizing the hat", namely Wang Jianzhong, executive director of Beijing Capital Investment Company, against Wang Jianzhong, executive director of Beijing Shou Fang Investment Company, and analyzes the reasons for the failure of the dispute over the manipulation of compensation in the securities market. Application of comparative analysis, logical analysis, normative analysis, empirical analysis and other research methods; This paper discusses the basic theory of market manipulation and the causation of civil liability, draws lessons from the advanced experience of mature securities market countries, and puts forward concrete suggestions to perfect the rules of determining civil liability causality of manipulation in China. This paper discusses in detail the purpose, principle and specific rules of determining civil liability causality in securities market manipulation, and forms a relatively complete system. Through this study, I hope to make up for some deficiencies in the study of civil liability causality in securities market manipulation in China, and hope to provide some theoretical support for the corresponding judicial practice.
【學位授予單位】：蘭州大學
【學位級別】：碩士
【學位授予年份】：2013
【分類號】：D922.287;D923

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