論證券交易法資訊不實的民事損害賠償責任與因果關係認定的理論與實證

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题名:	論證券交易法資訊不實的民事損害賠償責任與因果關係認定的理論與實證
作者:	于茂宗
贡献者:	中山與中國大陸研究所中國大陸組
关键词:	證劵交易 Securities Exchange 公開說明書 Prospectus 資訊不實 Misrepresentation 證劵詐欺 Securities Fraud
日期:	2012
上传时间:	2012-10-09 09:33:46 (UTC+8)
摘要:	本篇論文以探討證券詐欺的民事賠償責任為核心。主要論及證券交易法中有關證券詐欺、資訊不實、公開說明書等虛偽、隱匿的規定。其中發行市場涉及資訊揭露不實的是第二十條、第二十條之一、第三十二條，而交易市場則是第二十條與第二十條之一。我國證券詐欺的民事賠償規範多是仿自美國的立法。因此，本文就美國關於證券詐欺的民事賠償立法背景、法條規定、判決、理論作介紹與分析，以瞭解美國針對證券詐欺的民事求償法律機制。以助於我國證券詐欺法制的建立。本文深度探討第二十條之一與三十二條規範下資訊不實的損害賠償，找出第二十條之一與三十二條的運作缺陷以及將來修法的可能。並闡述既有的第二十條之一與三十二條的既存問題及其重要案例，以及近來遭受濫用的相關理論。再分別論述、資訊分實、公開說明書等虛偽、隱匿等不實陳述的構成要件及法律效果並進行分析。再比較我國與美國在立法、學說、司法實務的運作，以提出我國現行有關資訊不實民事賠償制度的缺失及改善方向。 The study probes into securities fraud and its compensatory liability by focusing on regulations related with securities fraud, misrepresentation statements, omission or concealment that shown on the prospectus and reported financial statement required by the Financial Supervisory Commission. Such misconducts will be occurred both in the issuance market and trading market, when arising in the issuance market, are subjected to article 20, 20-1 and 32 of the Securities Exchange Act；when arising in the trading market, are subjected to article 20 and 20-1. Many of articles on anti-fraud and civil compensatory regulations in R.O.C. are followed or even identical with the statutes of 1933’s Security Act or 1934’s Security Exchange Act of United States of America. Therefore, the study will fully discuss legislation background, purpose of legislated articles, requirements of regulations, theories, and judicial decisions on civil liabilities of securities fraud in United States. In order to both understand the legal mechanism on civil liabilities of securities fraud in United States and help R.O.C.’S relevant judicial, executive and legislative bureaus to build up legal systems of anti-fraud. The study will deeply discuss the civil liabilities for misrepresentation statements under article 20-1 and 32, find out what goes wrong on the operation of these two articles and suggest the possibilities of amending legislation. The study will explain what existing questions rooted in the context of article 20-1 and 30 and several cases under them are reviewed；meanwhile explore the potential flaws of theories from United States that might be abused by our courts and academic circles. Moreover, separately, the requirements and law effects for securities fraud, misrepresentation statements, omission or concealment on prospectus and reported financial statement are also analyzed, and the legislations, theories, judicial practices from United States and R.O.C are also reviewed, for the proceeding a comparison and discussion to identify the similarities and differences between them. So that the deficiencies of R.O.C.’s current civil liability for securities fraud can be uncovered, and propositions for improvement can be suggested.
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