:::

詳目顯示

回上一頁
題名:美國案例法上內線交易責任主體範圍之變遷與啓示
書刊名:中華國際法與超國界法評論
作者:黃朝琮
作者(外文):Huang, Chao-tsung
出版日期:2013
卷期:9:2
頁次:頁287-315
主題關鍵詞:內線交易信賴關係理論私取理論消息傳遞責任不實陳述責任Insider tradingFiduciary theoryMisappropriation theoryTipper/tippee liabilityMisrepresentation liability
原始連結:連回原系統網址new window
相關次數:
  • 被引用次數被引用次數:期刊(3) 博士論文(0) 專書(0) 專書論文(0)
  • 排除自我引用排除自我引用:2
  • 共同引用共同引用:161
  • 點閱點閱:325
內線交易的責任主體範圍將直接影響到行為人責任有無之判斷,且與內線交易之基本理論密切相關,故向來為內線交易責任理論上之重要議題。美國案例法雖然在 Cady, Roberts 案及 Texas Gulf Sulphur 案中發展出資訊平等理論,惟為美國聯邦最高法院所不採,而在後續判例中,發展出以受託義務為中心之信賴關係理論及私取理論。 在信賴關係理論及私取理論之主軸確立後,美國對於責任主體的觀念,仍然持續藉由案例的累積發展當中,而有進一步的發展。在此過程中,美國法在責任主體範圍的界定上面臨若干困境,同時也產生新的爭議。我國證券交易法第一五七條之一規定既係承襲自美國立法例而來,則瞭解該國實務的最新發展及理論瓶頸,當可從中汲取靈感,以為我國內線交易法制發展之參考。 在此問題意識下,本文回顧美國法有關內線交易責任主體概念的發展歷程,以及此一概念的最新發展。並在此脈絡下,進一步探討若干責任主體態樣於我國法制下之受規範情形,並提出結論。
Determining the scope of “insider” is important due to its direct link to the reach of insider trading liability and the underlying theory. Despite the adoption of equal access theory in Cady, Roberts and Texas Gulf Sulphur, the US Supreme Court embraces the classical fiduciary theory and misappropriation theory, emphasizing the existence of fiduciary relationship as a must. Subsequent to the establishment of classical fiduciary duty theory and misappropriation theory, the concept of “insider” keeps developing, with new issues and hurdles to deal with. Since the US approach is endorsed in the legislation of Taiwan insider trading law (Article157-1 of Taiwan Securities and Exchange Act), observing the evolution of US insider trading law may provide useful guidance to develop our own insider trading theory. Therefore, this Article reviews the evolvement and current status of the concept of "insider" in the US case law and analyzes how the same issues may be handled under Taiwan insider trading law to prepare for further discussion in the future.
期刊論文
1.Langevoort, Donald C.(2013)。‘Fine Distinctions' in the Contemporary Law of Insider Trading。COLUM. Bus. L. Rev,2013(2),429-462。  new window
2.Seligman, Joel(1998)。A Mature Synthesis: O’Hagan Resolves‘Insider’ Trading’s Most Vexing Problems。DEL. J. CORP. L.,23,1-14。  new window
3.(19871201)。立法院公報76(96),75-76。  延伸查詢new window
4.Nagy, Donna M.(2009)。Insider Trading and the Gradual Demise of Fiduciary Duty。IOWA L. REV.,94,1315-1322。  new window
5.Langevoort, Donald C.(1999)。Re-reading Cady, Roberts: The Ideology and Practice of Insider Trading Regulation。COLUM. L. REV.,99,1319-1322。  new window
6.Prentice, Robert A.(2011)。Permanently Reviving the Temporary Insider。J. CORP. L.,36,343-358。  new window
7.Bainbridge, Stephen M.(1995)。Incorporating State Law Fiduciary Duties into the Federal Insider Trading Prohibition。WASH. & LEE L. REV.,52,1189-1201。  new window
8.Barzuza, Michal(2012)。Market Segmentation: The Rise of Nevada as a Liability-Free Jurisdiction。Virginia Law Review,98,935-954。  new window
9.Painter, Richard W.、Krawiec, Kimberly D.、Williams, Cynthia A.(1998)。Donft Ask, Just Tell: Insider Trading After United States v. O’Hagan。Va. L. Rev.,84,153+206-207。  new window
10.Brudney, Victor(1997)。O'Hagan's Problems。SUP. CT. Rev.,1997,249-254。  new window
11.Coffee, John C. Jr.(2013)。Mapping the Future of Insider Trading Law: Of Boundaries, Gaps, and Strategies。Colum. Bus. L. Rev.,2013,281-288。  new window
12.Nagy, Donna M.(2011)。Insider Trading, Congressional Officials, and Duties of Entrustment。B.U.L . REV,91,1105-1127。  new window
13.劉成墉(20120600)。內線交易消息受領人之探討--以遠距消息受領人為中心。銘傳大學法學論叢,17,165-203。new window  延伸查詢new window
14.劉連煜(19941000)。內部人交易中消息受領人之責任。中興法學,38,165-187。new window  延伸查詢new window
15.Steinbuch, Robert(2008)。Mere Thieves。Md. L. Rev.,67,570-589。  new window
16.Prentice, Robert A.(1999)。The Internet and Its Challenges for the Future of Insider Trading Regulation。HARV. J. L. & Tech,12,263-364。  new window
17.Nagy, Donna M.(1998)。Reframing the Misappropriation Theory of Insider Trading Liability: A Post-O'Hagan Suggestion。OHIO ST. L.J,59,1223+1252-1256。  new window
18.Cohen, Joel M.、Dunning, Mary Jay、Shill, Gregory H.(2010)。Erosion of the Fiduciary-Duty Requirement in Insider-Trading。ABA Securities Litigation Journal,10,12-15。  new window
19.Bainbridge, Stephen M.(20091009)。Ruling On Hackers As Inside Traders: Right In Theory, Wrong On The Law。Legal Backgrounder,24(32),1-4。  new window
20.姚志明(20101200)。內線交易責任主體之研究。月旦民商法雜誌,30,81-103。  延伸查詢new window
21.Crimmins, Stephen J.(2013)。Insider Trading: Where is the Line?。Colum. Bus. L. Rev.,2013,330-356。  new window
22.Greene, Edward、Schmid, Olivia(2013)。Duty-Free Insider Trading?。COLUM. Bus. L. Rev.,2013,369-428。  new window
23.林文里(20120700)。外部消息與內線交易內部人的界定--以違約交割為例。法令月刊,63(7),86-97。new window  延伸查詢new window
24.洪秀芬(20130700)。從德國內線禁止行為類型及其處罰規定反思我國內線交易規範改革之可能性。中正財經法學,7,1-48。new window  延伸查詢new window
25.張心悌(20100600)。內線交易消息傳遞之民事責任。臺北大學法學論叢,74,109-145。new window  延伸查詢new window
26.Coles, Kathleen(2006)。The Dilemma of the Remote Tippee。GONZ. L. Rev.,41,181-236。  new window
27.林國全(19920600)。證交法第一五七條之一內部人交易禁止規定之探討。政大法學評論,45,259-303。new window  延伸查詢new window
28.邵慶平(20080600)。董事受託義務內涵與類型的再思考--從監督義務與守法義務的比較研究出發。臺北大學法學論叢,66,1-43。new window  延伸查詢new window
29.林志潔(20110900)。美國聯邦最高法院判決與內線交易內部人定義之發展--以O'Hagan案為核心。歐美研究,41(3),849-883。new window  延伸查詢new window
30.陳俊仁(20110600)。處罰交易或處罰未揭露?--內線交易規範法理基礎之檢視與規範之解構與再建構。月旦民商法雜誌,32,21-38。  延伸查詢new window
31.Hazen, Thomas Lee(2010)。Identifying the Duty Prohibiting Outsider Trading on Material Nonpublic Information。Hastings Law Journal,61,881-916。  new window
32.林國彬(20071200)。董事忠誠義務與司法審查標準之研究--以美國德拉瓦州公司法為主要範圍。政大法學評論,100,135-214。new window  延伸查詢new window
33.廖大穎(20090300)。資訊不正流用理論與證券交易法第157條之1。月旦財經法雜誌,16,77-114。  延伸查詢new window
34.黃朝琮(20130400)。社群網站與重大消息揭露--Nexflix事件初探。證券暨期貨月刊,31(4),33-46。  延伸查詢new window
35.張心悌(20080900)。從法律經濟學與資訊財產權探討內線交易理論:兼論內線交易內部人之範圍。國立臺灣大學法學論叢,37(3),97-128。new window  延伸查詢new window
36.Quinn, Randall W.(2003)。The Misappropriation Theory of Insider Trading in the Supreme Court: A Response to the Critics of United States v. O'Hagan。Fordham Journal of Corporate & Financial Law,8,865-894。  new window
37.Fisch, Jill E.(1991)。Start Making Sense: An Analysis and Proposal for Insider Trading Regulation。GEORGIA L. Rev.,26,179-248。  new window
38.Grzebielski, Ray J.(2002)。Friends, family, fiduciaries: Personal relationships as a basis for insider trading violations。Catholic University Law Review,51(2),467-493。  new window
圖書
1.廖大穎(20110900)。證券交易法導論。台北:三民書局。  延伸查詢new window
2.Eisenberg, Melvin A.(2005)。Corporation and Other Business Organizations: Cases and Materials。New York:Foundation Press。  new window
3.黃國昌(201007)。訴訟法。英美法導論。台北:元照。  延伸查詢new window
4.劉連煜(2012)。內線交易構成要件。元照。  延伸查詢new window
5.賴英照(20091000)。股市遊戲規則--最新證券交易法解析。台北:元照出版社。  延伸查詢new window
6.曾宛如(2012)。證券交易法原理。元照。new window  延伸查詢new window
其他
1.Protess, Ben,D'avolio, Lauren(20131017)。Jury Rules For Cuban In Setback For S.E.C.。  new window
圖書論文
1.曾宛如(2012)。公司及其負責人於資本市場之義務與責任--內線交易與忠實義務(受任人義務)之關連。公司法制基礎理論之再建構。臺北:曾宛如。  延伸查詢new window
 
 
 
 
第一頁 上一頁 下一頁 最後一頁 top
:::
無相關著作
 
QR Code
QRCODE