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证券法律责任制度的实施与完善,是实现我国资本市场法治的基本路径,也是追求证券法价值目标的根本保障。然而,我国资本市场二十多年的发展实践表明,我国证券法律责任制度从责任设定到实施机制都存在功能性的障碍和结构性的缺失,致使我国资本市场法律的制度表达与市场实践之间出现了严重背离。本课题立足我国证券市场的现实状态和发展趋势,对证券市场违法行为的发现机制、处罚依据、程序成本、制裁效果及其相互之间的内在联系进行系统性分析,为建构我国能够充分发挥证券市场机制功能的科学合理的证券法律责任制度提供立法建议。
The implementation and improvement of securities legal responsibility system is the basic route to realize the rule of law in China’s capital market and the fundamental guarantee to pursue the value target of securities law. However, the development practice of China’s capital market for more than 20 years shows that there is a functional obstacle and a structural deficiency in the legal liability system for securities in China from the setting of responsibility to the implementation mechanism, which leads to the expression of the legal system of capital market in our country and the market practice Between the serious departure. Based on the actual state and development trend of the securities market in our country, this subject systematically analyzes the discovery mechanism, punishment basis, procedural cost, sanction effect and the inter-relationship between them in the securities market. In order to build our country to give full play to the securities Market mechanism function of the scientific and reasonable securities legal liability system to provide legislative advice.