【摘要】：在我國證券市場發(fā)展突飛猛進(jìn)的同時(shí)，證券市場的違法行為也如影隨形，其中證券經(jīng)紀(jì)人違信行為更是頻頻發(fā)生。證券經(jīng)紀(jì)人違信責(zé)任是指證券經(jīng)紀(jì)人違反法定或約定義務(wù)，侵害他人合法權(quán)益，造成他人損失而應(yīng)承擔(dān)的民事責(zé)任。證券經(jīng)紀(jì)人違信責(zé)任是一種損害賠償責(zé)任；是一種嚴(yán)格代理責(zé)任；是一種兼具違約與侵權(quán)的民事責(zé)任。證券經(jīng)紀(jì)人違信責(zé)任的承擔(dān)主體是證券經(jīng)紀(jì)人包括證券公司和個(gè)人證券經(jīng)紀(jì)人。證券經(jīng)紀(jì)人違信責(zé)任與證券欺詐民事責(zé)任具有很多相似之處，我們必須明確兩者之間的區(qū)別，才能更好的借鑒證券欺詐民事責(zé)任制度，完善證券經(jīng)紀(jì)人違信責(zé)任制度。證券經(jīng)紀(jì)人違信責(zé)任的構(gòu)成必須滿足以下要素：證券經(jīng)紀(jì)人違法或違約行為的先前存在；受害人損害已為既定事實(shí)；證券經(jīng)紀(jì)人之違信行為與受害人之損害存在因果關(guān)系；證券經(jīng)紀(jì)人存在過錯(cuò)。確定證券經(jīng)紀(jì)人違信責(zé)任的歸責(zé)原則具有重要價(jià)值和現(xiàn)實(shí)意義，應(yīng)該按照嚴(yán)格責(zé)任原則，根據(jù)證券經(jīng)紀(jì)人具體違信行為進(jìn)行具體分析。證券經(jīng)紀(jì)活動(dòng)必須經(jīng)過開戶委托、授權(quán)交易、競價(jià)成交、清算交割四個(gè)基本的環(huán)節(jié)才能完成交易，那么對證券經(jīng)紀(jì)人違信責(zé)任的研究，理所當(dāng)然要從證券經(jīng)紀(jì)的活動(dòng)過程中去認(rèn)定。證券經(jīng)紀(jì)人違信責(zé)任的形式包括違約責(zé)任或侵權(quán)責(zé)任。證券經(jīng)紀(jì)人存在共同違信行為時(shí)，共同違信行為人存在責(zé)任分擔(dān)關(guān)系和責(zé)任范圍的劃分。此外，我國可以借鑒國外立法及理論中，證券經(jīng)紀(jì)人違信責(zé)任免責(zé)的事由和特定條件。
[Abstract]:With the rapid development of China's securities market, the illegal behavior of the securities market is also following, among which the illegal behavior of securities brokers occurs frequently. The liability of securities broker for breach of trust refers to the civil liability of securities broker for violating legal or contractual obligations, infringing on the legitimate rights and interests of others and causing losses to others. The liability of securities broker for breach of trust is a kind of liability for damages; it is a kind of strict agency liability; it is a kind of civil liability with both breach of contract and tort. The main body of the liability of securities brokers for breach of trust is securities brokers, including securities companies and individual securities brokers. There are many similarities between the breach of trust liability of securities brokers and the civil liability of securities fraud. We must make clear the difference between the two in order to better draw lessons from the civil liability system of securities fraud and improve the liability system of securities brokers for breach of trust. The composition of the breach of trust liability of securities brokers must meet the following elements: the prior existence of illegal or default acts of securities brokers; the damage of victims is an established fact; there is a causal relationship between the breach of trust of securities brokers and the damage of victims; and there is a fault of securities brokers. It is of great value and practical significance to determine the imputation principle of securities broker's breach of trust liability. According to the principle of strict liability, the concrete analysis should be carried out according to the specific breach of trust behavior of securities broker. Securities brokerage activities must be commissioned by the opening of accounts, authorized transactions, bidding transactions, liquidation and delivery of four basic links to complete the transaction, then the study of the liability of securities brokers for breach of trust, of course, should be determined from the process of securities brokerage activities. The form of breach of trust liability of securities broker includes breach of contract liability or tort liability. When there is a joint breach of trust by a securities broker, there is a division of responsibility sharing and scope of responsibility between the joint breach of trust and the scope of responsibility. In addition, China can draw lessons from foreign legislation and theory, securities brokers breach of trust liability exemption and specific conditions.
【學(xué)位授予單位】：湖南大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.287

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本文編號：2505279