关于证券专业人士虚假陈述的法律问题研究

发布时间：2018-01-19 12:10

本文关键词： 专业人士预测性信息虚假陈述证券市场　出处：《首都经济贸易大学》2017年硕士论文　论文类型：学位论文

【摘要】：证券市场是我国社会主义市场经济的重要组成部分,证券市场的稳定和发展对我国实体经济的发展起到了越来越重要的作用。2015年备受关注的“南纺股份”虚增资本的案件引起了各方对于证券专业人士虚假陈述问题的深刻思考。信息披露作为证券市场的基础性原则,对于维护市场稳定、保护投资者利益、保障社会经济发展起到了至关重要的作用。在证券市场参与者当中,专业人士的地位逐渐受到重视。投资者基于对专业人士专业能力的信任,往往根据专业人士的专项报告来确定最终的投资目标。但我国现行法律制度缺乏对于专业人士在证券活动中责任形式的规定。同样,我国对于披露信息的划分标准也尚不明确,这就导致实践中对于专业人士因虚假陈述行为承担不适当的责任。本文尝试以虚假陈述概念为切入点,详尽剖析证券市场专业人士虚假陈述的民事责任在司法实践中所涉及的各类理论与实践问题。结合相关国家和地区的有关规定,综合运用比较分析法、历史分析法以及实证分析法等方法,对证券市场专业人士的虚假陈述行为、专业人士责任的性质、归责原则及专业人士过错的认定标准等问题进行探讨,提出有针对性的意见,力图丰富和完善我国治理证券专业人士虚假陈述问题的相关法律内容。
[Abstract]:The securities market is an important part of our socialist market economy. The stability and development of the securities market has played a more and more important role in the development of the real economy of our country. The case of inflated capital has aroused deep thinking about the misrepresentation of securities professionals. Information disclosure is the basic principle of the securities market. It plays an important role in maintaining market stability, protecting investors' interests and ensuring social and economic development. The status of professionals is increasingly being valued. Investors are based on trust in the professional competence of professionals. The final investment target is often determined according to the special report of the professionals. However, the current legal system of our country lacks the regulation of the form of liability of the professionals in the securities activities. The classification standard of disclosure information in our country is not clear, which leads to improper responsibility for the professional because of false statement behavior. This paper tries to use the concept of false statement as the starting point. Detailed analysis of the securities market professionals in the civil liability of false statements in the judicial practice involved in all kinds of theoretical and practical issues. Combined with the relevant national and regional provisions, comprehensive use of comparative analysis. Historical analysis and empirical analysis methods to the securities market professionals' false statement behavior, the nature of professional liability, the principle of imputation and professional fault identification standards are discussed. In order to enrich and perfect the relevant legal contents of the misrepresentation of securities professionals in China, this paper puts forward some pertinent opinions.
【学位授予单位】：首都经济贸易大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.287

【相似文献】