证券服务机构独立责任承担的探讨

On Independent Responsibility of Securities Service Agency

证券服务机构责任承担问题是2005年证券法修改时被忽略的一个问题。本文主要是对我国目前证券服务机构现行的责任机制和证券服务机构有约束的自律、许可证制度、刑事责任、行政责任、民事责任进行分析,从而得出加强证券服务机构民事责任的结论。通过对现行民事责任中的连带责任进行分析,认为应当建立独立责任机制并辅助以其它相关制度,确立证券服务机构独立责任的归责原则和构成要件。

Securities Services is responsible for the issue of amending the Securities Act of 2005,ignores the larger question,In this paper,mainly from China＇s securities services to institutional responsibility for the existing mechanisms for analysis,from the securities services of self-binding,the permit system,criminal,administrative responsibility,civil liability to carry out analysis to strengthen civil liability for securities services conclusions.Also on the existing civil liability in the analysis of joint and several liability,that liability should be the establishment of an independent mechanism,and to assist with other related systems such as the burden of proof,such as.Securities Services has established an independent body responsible for the attribution of the principles and elements.And independent mechanisms responsible for the positive significance of a simple.