论文标题:证券欺诈民事责任研究
Research on Civil Responsibility of Securities Fraud
论文作者 滕文浩
论文导师 王建平,论文学位 硕士,论文专业 民商法学
论文单位 四川大学,点击次数 578,论文页数 76页File Size3789k
2003-09-19论文网 http://www.lw23.com/lunwen_411282/ 证券欺诈民事责任,基本理论,比较研究,分类研究,责任构成,制度完善
Civil responsibility of securities fraud;Fundamental theory;Comparative research;Classified research;Responsibility composition;System improvement
在我国，立法对证券欺诈行为民事责任的规定尚未形成完整的体系，相关理论研究又未能较好地解决证券欺诈损害赔偿中的难点问题，没有提出科学可行的操作方案，执法环节的薄弱是必然的。 随着我国证券市场的不断发展，证券欺诈带来的困扰越来越大。许多因证券欺诈行为而蒙受损害甚至倾家荡产的投资者，无法获得法律上的有效救济，证券欺诈行为也难以得到有效的监控和遏制。长此以往，我国证券市场的发展前景令人堪忧。建立和完善证券欺诈民事责任制度已迫在眉睫。 本文以证券欺诈民事责任为研究对象，借鉴世界证券市场发达国家和地区的立法和司法经验，结合我国证券市场的现实，通过对中外各国反证券欺诈民事责任制度的比较分析，对五种典型的证券欺诈行为民事责任的分类研究，深入探讨了证券欺诈民事责任的基本理论和难点问题，归纳论述了证券欺诈民事责任的构成要件，最后提出了我国证券欺诈民事责任制度的立法定位、立法原则及完善相关制度的几点构想。 全文共有五章，每章的主要内容如下： 第一章 从证券欺诈的含义入手，论述了证券欺诈民事责任的基本理论，包括证券欺诈与一般民事欺诈的比较、我国证券欺诈产生的根源、证券欺诈民事责任的性质、证券欺诈民事责任的功能分析和经济学分析等内容。 第二章 介绍了各国反证券欺诈民事责任制度的立法状况，比较分析了我国反证券欺诈民事责任制度的现状及其原因。 第三章 分类探讨了证券发行欺诈、欺诈客户、内幕交易、操纵市场、虚 证券欺诈民事责任研究假陈述＿h种典型的证券欺诈行为民事责任的相关理论和现实问题。 第四章 在比较研究和分类研究的基础．上，归纳论述了证券欺诈民事责什的构成要件，即证券欺诈行为、证券欺诈损害事实、证券欺诈因果关系及证券欺诈过错与归贯原则。 第二章 在论述了完善我国证券欺诈民事责任制度意义的基础上，提出了我国证券欺诈民事责任制度的立法定位、立法原则及完善相关制度的几点构想。
In China, legislations haven" t formed an integrated system of civil responsibility of securities fraud, and meanwhile, certain related theoretical researches are not able to solve the key difficulties of the compensation for damages , which were caused by securi ties fraud. Without scientific and feasible solution, our legal enforcement is definitelya weak point.With the fast development of our securities market, more and more troubles and confusions occur. Many investors, who have suffered not only the damage, but also even to the extent of bankruptcy, can" t get legal recoupment. And it is hard to monitor and restrict these securities fraud practices. In a long-term range, the prospect of our securities market becomes worrying. So it is imminent to establish and improve the system of civil responsibility of securities fraud.This text takes civi 1 responsibil ity of securities fraud as objective of study, and legislative and judicial experiences of other developed countries and regions as references. Combined with the present situation of domestic securities market, via the comparison and analysis of the systems of civil responsibility of anti-securities fraud between domestic and abroad, and through the classified study of five typical civil responsibilities of securities fraud practices, we have preciselydiscussed the fundamental theory and the key points of civil responsibility of securities fraud, concluded essential formations of civil responsibility of securities fraud, and in the end, it proposes the legislative orientation, principles for civil responsibility of securities fraud, as well as suggestions for system improvement.The f u 1 1 text has five chapters, and each brief point goes as fol lows: Chapter I Starting with the definition of securities fraud, it introduces fundamental theory of civil responsibility of securities fraud, including the comparisons between securities fraud and the common civil fraud, the origin of securities fraud, the nature of civil responsibility of securities fraud, the functional and economic analysis of civil responsibility of securities fraud etc.Chapter II It summarizes legislation of civil responsibility of anti-securities fraud of other countries, and comparatively analyses thestatus and cause on our country.Chapter III It goes further into relevant principles and practical problems governing five typical civil responsibilities of securities fraud practices: deceptive issuing, cheating consumers, insider trading, market manipulation, and false statement.Chapter IV On a basis of comparative and classified analysis, it concludes essential formations of civil responsibility of securities fraud: conduct, damage, causality, fault and the principle that how to lay the blame on the right shoulder"s.Chapter V Based on the discussion on the significance of improving our system of civi 1 responsibility of securities fraud, it proposes some legislative orientation, legislative principles and suggestions for system improvement.
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