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ID:33683714
大小:1.19 MB
页数:45页
时间:2019-02-28
《证券发行中虚假陈述及民事责任》由会员上传分享,免费在线阅读,更多相关内容在学术论文-天天文库。
1、内容摘要本文主要研究证券发行虚假陈述及其民事责任。围绕信息披露的民事责任制度,全面分析了我国证券法中虚假陈述民事责任的憾缺,并从实体和程序法的角度为完善我国虚假陈述民事责任,确实保护投资者的利益提出建议。本文分为五章。第一章导论。本章简单介绍了我国证券发行市场的基本情况及信息披露的功能,进而提出问题。第二章证券发行中信息披露义务的表现形式。本章论述了证券发行主体在信息披露中承担的不同义务,并对虚假陈述行为进行界定。前者分为信息披露主体和信息披露参与主体,后者包括虚假陈述、误导性陈述和重大遗漏。第三章承担证券发行虚假陈述民事责任的主体。主体有发行人、发起人、上市公司;证券承
2、销商;专业中介机构;有关单位负有责任人员。第四章证券发行虚假陈述的实体法救济措施。第一,民事责任的性质应以承担侵权责任更为妥当。第二,请求权人和请求权基础是《证券法》等相关法律条文。第三,虚假陈述民事责任的构成要件包括虚假陈述行为、主观过错、损害后果、虚假陈述和损害后果之间的因果关系。第四,虚假陈述的民事责任方式有撤销合同和赔偿损失两种形式。第五章证券发行虚假陈述民事责任的诉讼实现机制。对完善代表人诉讼制度提出了可行性解决办法,还对我国设立诉讼担当制度提出些初步的想法。AbstractThisarticleismainlyaboutfalsestatementinissu
3、ingsecuritiesandcorrespondingcivilliabilities.Centeringoncivilliabilitysystemaboutinformationdisclosure.theauthoranalysesthedefectsofcj、rilliabilitysysteminsecuritiesregulationofChinaandcomesupwithconstructiveadvicesfromthesubstantiveandtheproceduralpointofviewtoimproveourcivilliabilitysy
4、stemaboutfalsestatementandtoprotecttheinterestsofinvestorseffectively.Thisarticleisdividedintofivechapters.Thefirstchapteristheintroduction,.whichbrieflyintroducesChinesesecuritiesissuingmarketandthefunctionsofinformationdisclosureandfurtherputsforwardsomeissues.Thesecondchapteristheconce
5、rningformsofinformationdisclosuredutiesinissuingsecurities.Itdiscussesdifferentdutiesofsecuritiesissuingsubjectsincludingprimarysubjectsandparticipantsininformationdisclosureanddefinestheactionoffalsestatementincludingmisrepresentation,misleadingstatementandmajoromission.Thethirdchapterdi
6、scussesthesubjectresponsibleforfalsestatementinissuingsecurities,fromissuers,sponsors,listedcompanies,securitiesunderwriters,professionalpublicintermediaryorganizationstopersonsresponsibleininvolvedunits.Thefourthchapterfocusesonsubstantivemeasuresofremediestofalsestatement.First,itisdesi
7、rabletodefinethenatureofliabilityaboutfalsestatementastortiousliability.Second,claimantandfightsofclaimarebasedonsecuritieslawofChinaandotherrelevantprovisions.Third,theconstitutiveelementsofafalsestatementconsistoftheactionofmisrepresentation,damagesandthecasualrel
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