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Civil liability for false statements study

Author: WangJunQiang
Tutor: LiuShaoJun
School: China University of Political Science
Course: Legal
Keywords: Civil liability False statements Issues Accountability mechanisms Securities market regulation Securities disputes Substantive issues General Counsel New York Stock Exchange Protection of investors' interests
CLC: D925.1
Type: Master's thesis
Year: 2001
Downloads: 109
Quote: 0
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New York Stock Exchange executive vice president and chief legal counsel, Mr. Richard Bernard once said: \law to respond to government management will become redundant, or even the necessity of self-discipline is also very small, however, the fact is, human nature makes the securities market have to always have to guard against the risk of fraud and manipulation. \a sequence securities market, the securities regulatory authorities around the world have attached great importance to the supervision of the securities market. States also are given the great powers of the regulatory body, and China is no exception. However, even severe punishment in the strict regulatory front there are still a large number of institutions and white-collar workers to take the risk? Selfish weakness of human nature itself, driven by the interests of the social environment induced factors, one of the very important factors in China from legislation to law enforcement, securities market regulation, including administrative and judicial yet to form impartial mechanism has not been created fair market. Especially serious deficiencies in civil liability mechanisms, leading to the trauma suffered by the stock market \Another theoretical basis of this article is the \In the sense that gives the investor the right to appeal, and effectively protect the civil rights of appeal through judicial means to achieve the rights have been infringed, investors can bring a civil action in accordance with the law, the damage to be compensated, the interest in re-balanced this is the best choice. The paper is divided into three chapters. Chapter Introduction, introduces the status quo of the securities market civil liability mechanisms to analyze the reasons for this situation, and then discussed the significance of the perfect civil liability mechanisms and sound principles. From the legislative point of view, the emphasis on administrative responsibility and criminal liability provisions of China's laws and regulations on the civil liability provisions are relatively weak. From a law enforcement perspective, up to now none of the success of the civil liability case. From the point of view of theoretical research, experts and scholars in this field of almost blank. May be related to a lack of knowledge with the Securities and also with the securities industry is an emerging industry, the theory always lags behind the practice. In the analysis of the reasons we emphasize both factors. First, the concept of reason, that heavy administrative criminal sanctions, neglect of a private right of civil protection and relief. The second is the complexity securities illegal sex itself. Establish and improve the civil liability mechanisms significance for strengthening the protection of the interests of investors, and maintaining the order of the securities market, lt; WP = 3 gt; improve the securities market legal system and the system will have important significance. The second part of the case studies. Comprehensive analysis is based on the court's ruling on the red case focus expanded from the point of view of both procedural and substantive. Discussion of procedural law, we have come to the conclusion plaintiff's litigation was established, the court can not dismiss the prosecution. About the real issues, we start from false statements defined depth analysis of the main problems facing the civil action for damages caused damage of investors due to false statements of the issuing company. That is, the identification of the causal relationship between the claimant to determine the responsibility of the principal basis of liability, the offense and the damage, the responsibility principle, the calculation of the amount of compensation, the limitation of actions, litigation mode selection, and the current legislation on these substantive issues under the deficiency and how perfect was introduced. The third chapter is the legislative and institutional design. This part is not a deep level of analysis and argument. Just provide some ideas and institutional vision of future resolve securities disputes may encounter problems. Include the following: litigation mode to further improve the system of representative action. Supervision in the community, the establishment of a civilian oversight agency. In order to achieve the balance of power of the small and medium investors and listed companies, we propose to introduce risk litigation system, and strengthen the responsibilities and the role of the Commission in a civil action for damages. Finally, we consider the development of the a dedicated Investor Protection Law, and put forward recommendations to strengthen the Securities Litigation judges specialized training to enhance the professional capacity of judges to resolve securities disputes.

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CLC: > Political, legal > Legal > Chinese law > Procedural Law > Civil Procedure Law
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