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題 名 | 論我國違約不交割的責任轉嫁錯誤=The Errors in Our Securities Regulation: A Legal and Systematic Study on Failure to Perform Settlement in the Stock Market in Taiwan |
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作 者 | 洪令家; | 書刊名 | 興大法學 |
卷 期 | 12 2012.11[民101.11] |
頁 次 | 頁1-41 |
分類號 | 563.51 |
關鍵詞 | 證券交易法第155條第1項第1款; 違約不交割; 操縱市場; 款券交割; 安全網; 證券商管理; Fail to perform settlement; Manipulations; The clearing and settlements system; The safety net; Regulating the broker-dealers; |
語 文 | 中文(Chinese) |
中文摘要 | 我國證券交易市場必須建立完整健全的交易制度,並配合完善合理的法律架構,以提升我國證券交易市場與相關法制的成熟與健全。我國證券交易法第一五五條第一項第一款中關於違約不交割之刑事規範是一個具有我國特色的規範,因為該規定條文的模糊不明,及違約不交割的法律效果為嚴峻的刑事制裁,一直以來違約不交割的規定飽受學者及實務界的檢討與批評;然該違約不交割的規範係於一九六八年訂立證券交易法時,參照當時的證券交易所法及證券商管理辦法所訂立,我國雖經歷多次證券交易法的修正,層出不窮的違約不交割案件,使該規定仍我國證券交易法中屹立不搖,然對於違約不交割的防制並非一再加重刑罰便一蹴可幾。本文試著從證券交易市場的交割制度出發,觀察我國對於違約不交割制度的設計與防範,從交易之前的預防到違約不交割事件發生後之補救措施,討論我國對於違約不交割的事前預防與事後補救,包含對於證券商的管理與投資人的管制與處罰等種種規範,以重新檢討我國對於證券交易法中違約不交割的所有規範,重新檢視我國對於違約不交割的制度規範及責任歸屬之妥適。 |
英文摘要 | To establish a sound securities market, our government should build a sustainable transaction system and coordinate a reasonable legal framework to improve the mutuality and health of our market. In the Securities and Exchange Act, the criminal liability on failure to perform settlement in stock market is an unique regulation which punishes that "to order or report a trade on a centralized securities exchange market and to fail to perform settlement after the transaction is made, where such act is sufficient to affect the market order." Despite this regulation has been ambiguous and faced a lot of critics for a long time, the authorities haven't intended to abandon it. This article discusses the clearing and settlements system and legal liabilities in this regulation on failed to perform settlement in the stock market. From the aspects of the design of settlement system, the safety net system form defaults, and the correction system on defaults, this article will points out many regulation's errors on this issue. |
本系統中英文摘要資訊取自各篇刊載內容。