论证券市场虚假陈述的侵权损害赔偿

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1、内容摘要V571321证券虚假陈述损害民事赔偿责任在保护投资者的合法权益方面发挥着重要作用。本文中的证券虚假陈述包括在证券发行及交易中的下列行为：虚假记载、重大遗漏和误导性陈述。根据对世界证券市场发达国家虚假陈述民事责任救济制度的比较分析，本文对我国证券虚假陈述侵权损害赔偿民事责任制度及其框架进行了研究设计。论文共分四部分。第一部分：从法哲学原理和监管功能角度，探讨了证券欺诈民事责任制度的重要意义。第二部分：围绕证券虚假陈述行为在其行为类型、性质、当事人、因果关系、归责原则、民事责任承担方式等方面，系统阐述了证券市场虚假陈述民事损害赔偿基本理论。这是本文的理论

2、基础。第三部分：以虚假陈述民事侵权损害赔偿基本理论为指导，具体分析了证券市场不同主体，包括发行人、证券承销商、董事、注册会计师等的过错责任承担。第四部分：从理论和实践两方面检讨我国证券虚假陈述民事赔偿制度的立法、司法现状；从宏观和微观两个方面对完善我国证券虚假陈述民事赔偿制度提出可行性建议。关键词：证券虚假陈述侵权责任损害赔偿AbstractThecivilliabilityandremedyforsecuritiesmisrepresentationplayanimportantpartinprotectingthelawfulrightsandintere

3、stsofinvestors．Theterm“securitiesmisrepresentation’’inthisdissertationincludesthefollowingbehaviorsintheactivitiesofsecuritiesissuingandtrading：falseaccount，significantomissionandmisguidingstatement．Basedonanalyzingtheruleofcivilliabilityandremedyformisrepresentationofdevelopedcount

4、ries’stockmarkets，theresearchdesignstheframeworkandruleoftortliabilityandcompensationfordamagescausedbysecuritiesmisrepresentationinchina．Thisdissertationisdividedintofourchapters．Chapter1givesalegalreviewtowardthesignificanceofthecivilliabilityforsecuritiesfraudbydiscussingitsphilo

5、sophicalreasonsandsupervisingfunctions．Chapter2，centeringontheparticularityofsecuritiesmisrepresentationinthefollowingaspects：categories，natures，litigants，causation，imputationprinciplesandcivilliabilityundertakingways，etc，introducessystematicallythebasictheoryofthecivilcompensationf

6、ortortdamagescausedbymisrepresentationinstockmarkets，whichformsthedissertation’Stheoreticalfoundation．Chapter3,guidedbythebasictheoryofcivilcompensationformisrepresentationtortdamages，dealswiththosewhohavecauseddamageIItoinvestorsandshallbeliablepaycompensation，includingtheissuer，th

7、eunderwriter,directorsandcertifiedaccountantsforthewrongcommittedbythem．Chapter4undertakesareviewoflegislativeandjudicialpracticeofthecivilliabilityandremedyforsecuritiesmisrepresentationinchina，andespeciallyexaminestherulebarrierstowardthecivillitigationsysteminchina．Furthermore，it

8、provideslegislative