论文标题:市场操纵民事责任制度研究
Research on Civil Liability of Market Manipulation
论文作者 叶红光
论文导师 高其才,论文学位 硕士,论文专业 民商法
论文单位 清华大学,点击次数 68,论文页数 90页File Size256k
2002-05-01论文网 http://www.lw23.com/lunwen_57755877/ 市场操纵,民事责任,群体诉讼,证券仲裁
Market Manipulation,Civil Liabilities,Class Action,Securities Arbitration
由于证券本身固有的投机性质以及真实证券市场存在的非有效性，市场操纵行为有其存在的必然性，但由于其对证券市场和公众投资者的严重侵害而应受到制裁。相对于比较成熟的行政处罚和刑事处罚制度，我国市场操纵民事责任制度尚显落后。本文综合运用比较分析、实证分析、法社会学分析、法的经济分析等方法，并借助经济学相关理论，分析和评价国内外有关市场操纵的立法利弊，从经济学角度和法学角度给出反对市场操纵的解释，对其概念进行了明确界定并予以类型化。本文从实体法和程序法两个角度对市场操纵民事责任问题进行了研究。在实体法方面，致力于探讨市场操纵民事责任的性质、构成要件、具体实现方式等；在程序法方面，则侧重于改进我国的群体诉讼制度与建立和完善证券仲裁制度。本文在结构上分为六章：第一章说明了论文的选题背景、意义和研究方向；第二章从经济学和法学两个方面介绍了市场操纵的基础理论；第三章介绍了市场操纵的界定并做出类型划分；第四章从实体法角度分析了市场操纵的民事责任；第五章提出以群体诉讼和证券仲裁两种方案作为解决市场操纵民事责任的程序规则；第六章对本文内容进行了总结。
As the existence of the speculative nature of the securities and the non-efficiency of the securities market, market manipulation will not be eliminated. The system of the Chinese market manipulation"s civil liabilities is too weak when compared with that of the administrative or criminal penalties.Adopting the analyses including comparative law, positive jurisprudence, social jurisprudence, economic jurisprudence and the related theories of economics, this paper introduces and evaluates the foreign and the domestic relative legislations of manipulation. Two explanations against manipulation are given from the aspects of economics and law. The concept of manipulation is clearly defined and divided into three types according to the objective behavior. This paper deals with the civil liabilities of manipulation from the ways of material law and procedural law. From the view of material law, such topics are carefully studied as the nature of the civil liabilities, the important constructive conditions and the methods fulfilling the civil liabilities. When procedural law is referred, the most important issues are how to develop the Chinese class action procedure and to rebuild the system of the Chinese securities arbitration.Six parts are contained in this paper as following: Chapter Ⅰ, Introduces the value of this paper and the researching way.Chapter Ⅱ, Summarizes the fundamental theories of the manipulation.Chapter Ⅲ, gives a clear conception of manipulation and classifies it into three types.Chapter Ⅳ, Focuses on the material law characteristics of the civil liabilities of manipulation.Chapter Ⅴ, Analyzes the procedural law schemes: class action and securities arbitration.Chapter Ⅵ, Conclusions.
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