【摘要】：改革開放以來，我國證券市場得到了很大的發(fā)展，很大程度上刺激了我國社會(huì)主義市場經(jīng)濟(jì)的發(fā)展，相關(guān)的經(jīng)濟(jì)法律法規(guī)也在逐步的健全和完善，資本市場漸漸繁榮。但是在投資者利益的保護(hù)方面仍然存在諸多弊端，一直以來，我國在投資者保護(hù)的相關(guān)制度方面都是重行政責(zé)任和刑事責(zé)任，而輕民事責(zé)任，這使得投資者的投資利益受損后很難得到有效的賠償，而且有的投資者都不知道自己的利益受損，更談不上去索賠，即使知道自己的投資利益受損，其求償?shù)倪^程也是漫長的，造成的維權(quán)成本也是相當(dāng)?shù)母撸谶@樣的情況下有些投資者甚至直接放棄這一權(quán)益，這樣的結(jié)果導(dǎo)致投資者的投資信心大大受損。為了挽回投資者的信心，保證證券市場的有序運(yùn)行，迫切需要建立和完善證券民事賠償基金制度。 隨著全球經(jīng)濟(jì)一體化的不斷發(fā)展，即證券交易國際化、證券發(fā)行國際化、證券制度國際化、證券市場國際化及資金國際化，一國在資本市場上已經(jīng)不能再固步自封、盲目閉關(guān)，必須關(guān)注國際資本市場上的一切發(fā)展動(dòng)向。綜觀世界主要發(fā)達(dá)國家和地區(qū)的證券法規(guī)，多把證券交易中的證券民事賠償基金制度作為一項(xiàng)重要制度加以規(guī)定。在西方國家讓違法者膽戰(zhàn)心驚的是民事賠償而不是行政罰款和刑事責(zé)任。刑事可以假釋保釋，民事責(zé)任則使其傾家蕩產(chǎn)，，身敗名裂，甚至有精神賠償。民事責(zé)任是一種成本小的監(jiān)控措施，只有對沒有支付能力的違法者才給予監(jiān)禁和其他處罰。為了加快我國證券市場的國際化步伐，必然借鑒其他國家的立法經(jīng)驗(yàn)與司法實(shí)踐，建立完善的證券民事賠償基金制度，對于將來國際金融市場一體化條件下投資者保護(hù)的國際協(xié)調(diào)具有重要的參考意義，因此建立這一制度是多功能的也是長遠(yuǎn)的。當(dāng)然，這一制度的建立和完善并不是一蹴而就的，而是一個(gè)系統(tǒng)的工程，需要各個(gè)方面的配合和共同努力。 本文在建立和完善證券民事賠償基金制度方面，重點(diǎn)在于該基金制度如何具體運(yùn)作，因此，對賠償對象的認(rèn)定，對賠償事由的審核以及賠償程序的構(gòu)建等方面做了具體的論述，提出相關(guān)建議和解決措施；然后從法經(jīng)濟(jì)學(xué)的層面具體分析證券民事賠償基金制度，分析證券民事賠償基金制度的經(jīng)濟(jì)屬性，可以從法經(jīng)濟(jì)學(xué)層面深刻地了解證券民事賠償基金制度的特點(diǎn)；文章認(rèn)識到該基金制度的完善關(guān)鍵還在于該基金制度的實(shí)行，因而提出一些保障措施的相關(guān)建議保障該制度的運(yùn)行，當(dāng)然這些措施的執(zhí)行也是該制度有效運(yùn)作的重要方面。建立和完善我國的證券民事賠償基金制度，對于我國資本市場的發(fā)展是一個(gè)很大的保障，投資者利益得到維護(hù)，對資本市場的信心自然會(huì)得到回轉(zhuǎn)，那樣投資者才會(huì)積極參與到證券市場的投資中，證券市場的運(yùn)作才會(huì)越來越有效率。另外，證券投資者賠償基金制度并不能解決投資者利益保護(hù)的所有問題，投資者權(quán)益的保障還要依靠投資者自我保護(hù)、行業(yè)自律以及政府監(jiān)管體系的健全等其他制度的配合。本文只是從證券民事賠償基金制度的建立與完善這個(gè)層面來論述如何保護(hù)投資者的利益，至于其它方面的制度也是值得探討的。
[Abstract]:Since the reform and opening up, China's securities market has been greatly developed, to a great extent, stimulated the development of China's socialist market economy, related economic laws and regulations are gradually improving and perfected, the capital market is gradually prosperous. But there are still many drawbacks in the protection of the interests of investors, China has been investing. The relevant system of investor protection emphasizes administrative responsibility and criminal responsibility, but neglects civil liability, which makes it difficult for investors to get effective compensation after their investment interests are damaged, and some investors do not know their interests are damaged, let alone claim, even if they know their investment interests are damaged, the process of claim is also very difficult. It is a long time and the cost of safeguarding rights is quite high. Under such circumstances, some investors even give up their rights and interests directly. As a result, their investment confidence is greatly damaged. Degree.
With the continuous development of global economic integration, that is, securities trading internationalization, securities issuance internationalization, securities system internationalization, securities market internationalization and capital internationalization, a country in the capital market can no longer be self-confident, blindly closed, we must pay attention to all developments in the international capital market. Securities laws and regulations at home and abroad mostly prescribe the civil compensation fund system for securities transactions as an important system. In western countries, what frightens lawbreakers is civil compensation rather than administrative fines and criminal liability. Civil liability is a kind of low-cost monitoring measure, and only those who break the law without the ability to pay are given imprisonment and other punishments. Under the condition of financial market integration, the international coordination of investor protection has important reference significance, so the establishment of this system is multi-functional and long-term. Of course, the establishment and improvement of this system is not achieved overnight, but a systematic project, which needs the cooperation and joint efforts of all aspects.
In this paper, the establishment and improvement of the securities civil compensation fund system, focusing on how the fund system to operate, therefore, the object of compensation, the review of compensation and compensation procedures to build a specific discussion, put forward relevant suggestions and solutions; and then from the level of law and economics of specific analysis By analyzing the economic attributes of the securities civil compensation fund system, we can have a deep understanding of the characteristics of the securities civil compensation fund system from the perspective of law and economics; the article recognizes that the key to the perfection of the fund system lies in the implementation of the fund system, and puts forward some relevant suggestions for safeguards. The establishment and improvement of China's securities civil compensation fund system is a great safeguard for the development of China's capital market, the interests of investors are safeguarded, and confidence in the capital market will naturally be reversed, so that investors will be able to. In addition, the securities investor compensation fund system can not solve all the problems of investor protection. The protection of investors'rights and interests also depends on the self-protection of investors, industry self-discipline and the perfection of government supervision system and other systems. This article only discusses how to protect the interests of investors from the establishment and improvement of the securities civil compensation fund system, as well as other aspects of the system is worth exploring.
【學(xué)位授予單位】：江西財(cái)經(jīng)大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.287;D923

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