义务范围理论下证券服务机构过失虚假陈述赔偿责任
洪国盛义务范围理论下证券服务机构过失虚假陈述赔偿责任
Compensation Liability of Securities Service Institutions for Negligent Misrepresentation under the Scope of Duty Theory
期刊名称：《法学研究》
期刊年份：
作者：洪国盛
单位：
中文关键词：证券服务机构|虚假陈述|义务范围|损失因果关系|比例责任
英文关键词：securities service institutions|misrepresentation|the scope of duty|loss causation|proportional liability
中文摘要：
证券法第163条第1句明确了基于证券服务机构义务范围判断其赔偿责任的要求。义务范围理论的核心是,义务均有其意图预防的具体风险,只有落入义务预防之风险所生的损害,义务违反者才需负责。义务范围理论经由义务范围确定与义务关联两个步骤实现其功能,不仅为认定证券服务机构赔偿责任提供指引,亦为其承担比例责任或连带责任提供依据。义务范围确定用以定性行为人所负有的注意义务旨在预防的风险及其所生损害类型,可区分为提供建议与提供信息两类义务。证券服务机构通常只承担提供信息类义务,因而仅就其服务意图预防的特定风险负责。义务关联则涉及损害归属的评估,用以量化行为人所需承担的损害数额。义务范围影响过失虚假陈述赔偿责任中过错与信赖要件的判断,且能将过错程度与原因力考量纳入其中,弥补相关理论的不足。
英文摘要：
The first sentence of Article 163 of the Securities Law clarifies the requirements for judging the liability of securities service institutions based on the scope of duty. The core of the theory of the scope of duty is that every duty intends to prevent specific risks and the violator of a duty is responsible only for the damage caused by the risks his duty intends to prevent. The theory provides not only guidance for the determination of the compensation liability of securities service institutions but also a basis for such institutions to bear proportional liability or joint liability. It achieves its function through two steps, i.e., the determination of the scope of duty and the duty nexus. The scope of duty determines the risks that the duty of care aims to prevent and the types of damage it causes. The duty of care can be divided into two types of providing advice and providing information. Securities service institutions usually only undertake the duty of care in providing information and thus are only responsible for the specific risks that their services are intended to prevent. The duty nexus involves the assessment of the attribution of damage, which is used to quantify the amount of damage that the actor is liable for. The scope of duty affects the judgment of the elements of negligence and reliance in the liability for negligent misrepresentation and can cover the degree of fault and the causal force, thus makes up for the shortcomings of relevant theories.
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