信用评级机构法律责任认定和损害赔偿问题研究

Research on Legal Liability and Damage Compensation Related to Credit Ratings

本文从信用评级行业法律责任认定的理论要件和当前司法实践出发,分析信用评级行业在证券虚假陈述纠纷中民事责任认定方面的特殊性。本文通过归纳美国与欧洲信用评级行业法律责任认定的立法与司法实践,将之与我国信用评级行业的立法和司法实践情况进行对比,总结我国评级机构在证券虚假陈述纠纷中法律责任认定存在的具体问题,进而基于我国信用评级行业的法律适用现状提出相关改革建议,为探索健全和完善信用评级行业法律责任认定和损害赔偿提供参考。

Based on the theoretical elements and current judicial practice,this paper analyzes the identification of civil liability in securities misrepresentation disputes related to credit ratings.The paper summarizes legislation and judicial practice related to determining legal liability in the credit rating sector of the United States and Europe.It then makes a comparison with China’s credit rating industry and puts forward relevant suggestions for reform based on the current application of laws and legal practice so as to provide a reference for exploring and perfecting the legal liability determination and awarding damages in the local credit rating industry.