证券发行中虚假陈述及民事责任

《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