本文關(guān)鍵詞： 操縱市場(chǎng)行為 民事法律責(zé)任 市場(chǎng)欺詐　出處：《云南大學(xué)》2015年碩士論文　論文類型：學(xué)位論文

【摘要】：我國(guó)《證券法》對(duì)操縱證券市場(chǎng)行為的民事責(zé)任已經(jīng)在立法方面得到確認(rèn),但對(duì)于追究操縱證券市場(chǎng)行為的民事責(zé)任,卻仍困難重重,受到財(cái)產(chǎn)損失的廣大投資者并未得到應(yīng)有的法律救濟(jì),廣大投資者的經(jīng)濟(jì)利益仍然游走于公平與正義的邊緣。民事法律責(zé)任制度對(duì)民事權(quán)利擁有人具有保護(hù)意義。民事法律責(zé)任制度應(yīng)當(dāng)經(jīng)過(guò)深入的研究和反復(fù)的論證,解決司法實(shí)務(wù)中亟須處理的問(wèn)題。若權(quán)利人應(yīng)有的權(quán)利未得到司法保障,那么法律關(guān)系就會(huì)處于不穩(wěn)定狀態(tài),這不利于維護(hù)證券交易秩序的穩(wěn)定。故操縱市場(chǎng)行為的民事法律責(zé)任制度應(yīng)具有補(bǔ)償、救濟(jì)受害者,維護(hù)交易者之間平衡利益關(guān)系的功能,使投資者對(duì)整個(gè)證券市場(chǎng)的有序與繁榮發(fā)展恢復(fù)投資信心。 操縱市場(chǎng)行為人一般是證券市場(chǎng)上比較具有知名度的證券從業(yè)者或投資咨詢機(jī)構(gòu),他們擁有較高的市場(chǎng)關(guān)注度,因此操縱市場(chǎng)的行為也就在客觀上利用了相對(duì)的群眾基礎(chǔ)。行為人利用投資者無(wú)法分辨證券市場(chǎng)真實(shí)信息的劣勢(shì),以多種形式的操縱市場(chǎng)行為,侵害眾多投資者的財(cái)產(chǎn)利益。操縱市場(chǎng)行為,嚴(yán)重違背了我國(guó)法律制度中的“誠(chéng)實(shí)信用原則”,對(duì)證券市場(chǎng)相關(guān)從業(yè)人員和機(jī)構(gòu)的誠(chéng)信與聲譽(yù)造成極為嚴(yán)重的負(fù)面影響,并損害了證券市場(chǎng)的誠(chéng)信秩序,導(dǎo)致證券市場(chǎng)不正常的發(fā)展情勢(shì),損害了投資者的投資信心。 本文首先通過(guò)證監(jiān)會(huì)查處的三起操縱證券市場(chǎng)案為例分析說(shuō)明了我國(guó)操縱市場(chǎng)行為民事責(zé)任制度的現(xiàn)狀,以便讀者對(duì)我國(guó)操縱市場(chǎng)行為民事責(zé)任制度有基本的了解。其次對(duì)操縱市場(chǎng)行為的定義、性質(zhì)、危害及類型進(jìn)行了基本闡述,使讀者能夠大致對(duì)操縱市場(chǎng)行為民事法律責(zé)任有基本的理論性認(rèn)識(shí)。再次,概括了操縱市場(chǎng)行為民事法律責(zé)任的構(gòu)成要件,并對(duì)其進(jìn)行評(píng)析,提出操縱市場(chǎng)行為民事法律責(zé)任構(gòu)成要件應(yīng)當(dāng)以全新視覺(jué)去規(guī)定,并對(duì)以全新視角認(rèn)定的構(gòu)成要件的合理性進(jìn)行了分析。然后通過(guò)對(duì)發(fā)達(dá)國(guó)家及地區(qū)對(duì)操縱市場(chǎng)行為民事法律責(zé)任之相關(guān)法律規(guī)定的研究,總結(jié)了我國(guó)應(yīng)當(dāng)在規(guī)制操縱市場(chǎng)行為民事責(zé)任制度方面應(yīng)當(dāng)借鑒的優(yōu)勢(shì)。本文的結(jié)尾,以完善操縱市場(chǎng)行為民事法律責(zé)任制度的方式為目的,提出了取消行政前置程序、因果關(guān)系確定方法及實(shí)行舉證責(zé)任倒置制度、確定操縱市場(chǎng)行為糾紛訴訟賠償額的建議。
[Abstract]:The civil liability for manipulating the securities market has been confirmed in the aspect of legislation, but it is still difficult to investigate the civil liability for the manipulation of the securities market. The majority of investors who have suffered property losses have not received the legal remedies they deserve. The economic interests of investors are still on the edge of fairness and justice. The civil liability system has the significance to protect the civil rights owner. The civil legal liability system should be studied deeply and proved repeatedly. . Solve the urgent problems in judicial practice. If the rights of the obligee are not protected by the judiciary, then the legal relationship will be in an unstable state. This is not conducive to maintaining the stability of the order of securities trading. Therefore, the civil liability system of market manipulation should have the function of compensation, relief to the victims, and maintenance of the balance of interests among traders. Investors will restore confidence in the orderly and prosperous development of the entire securities market. Market manipulators are generally well-known securities practitioners or investment consulting agencies, they have a high degree of market attention. Therefore, the behavior of manipulating the market makes use of the relative mass base objectively. The actor takes advantage of the weakness of the investors who can not distinguish the real information of the securities market, and manipulates the market behavior in many forms. Infringing on the property interests of many investors and manipulating the market seriously violates the "principle of good faith" in our country's legal system. It has a very serious negative impact on the integrity and reputation of the relevant employees and institutions in the securities market, and it also damages the integrity order of the securities market and leads to the abnormal development of the securities market. Has damaged investor's investment confidence. Firstly, this paper analyzes the current situation of civil liability system of market manipulation in China through three cases of manipulation of securities market investigated and dealt with by the Securities Regulatory Commission. In order for readers to have a basic understanding of the civil liability system of market manipulation in China. Secondly, the definition, nature, harm and types of market manipulation are expounded. So that readers can have a basic theoretical understanding of civil legal liability for market manipulation. Thirdly, it summarizes the constitutive elements of civil legal liability for market manipulation, and evaluates it. The constitution of civil liability for market manipulation should be stipulated from a new perspective. It also analyzes the rationality of the constitutive elements from a new perspective, and then through the developed countries and regions to manipulate the market behavior of civil legal liability related to the study of the legal provisions. This paper summarizes the advantages that our country should use for reference in regulating the civil liability system of market manipulation. At the end of this paper, the purpose is to perfect the civil liability system of market manipulation. This paper puts forward the suggestion of canceling the administrative pre-procedure, determining the causality and implementing the system of reversing the burden of proof to determine the litigation compensation for the dispute of manipulating market behavior.
【學(xué)位授予單位】：云南大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：D922.287

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本文編號(hào)：1451504