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    题名: 台灣證券團體訴訟之實證研究
    其它题名: An Empirical Study of Securities Class Action in Taiwan
    作者: 林郁馨
    贡献者: 法律學系
    关键词: 證券團體訴訟;財團法人證券投資人及期貨交易人保護中心;集體訴訟;填補損害;嚇阻不法
    Securities Class Action;Investor Protection Center of Taiwan;Compensation;Deterrence.
    日期: 2013
    上传时间: 2016-04-20 14:08:55 (UTC+8)
    摘要: 本研究的目的在檢視「財團法人證券投資人及期貨交易人保護中心」(「投保中心」) 與證券團體訴訟制度的成效。自有證券市場以來，公司掏空、財報不實的案件層出不窮， 此類案件中投資人人數眾多，而損害的發生卻往往基於同一事實，加上個別投資人受損 害之金額常遠低於訴訟成本，因此，特別需要法律賦予其特別的團體訴訟制度，以集合 眾人之力向公司求償，讓投資人的損害得以填補，不法公司受到法律制裁，以維護證券 市場之公平運作。我國於 2003年起施行的證券投資人及期貨交易人保護法，賦予投保 中心代表投資人提起團體訴訟的權利，並減免投保中心訴訟與執行費用上的負擔，使投 資人的損害得以填補，健全證券團體訴訟之機制。 至 2013年，投保法剛好實施滿十年，已累積上百件的證券團體訴訟，在各國紛紛 仿效美國建立類似其集體訴訟(class action)的團體訴訟制度之際，台灣以公設財團法人 之特殊制度，為全球證券團體訴訟打開新的一頁，其成效值得全世界關注。在美國已有 數個針對證券集體訴訟所設立的資料庫，完整蒐集所有聯邦證券集體訴訟之判決以及和 解情形，並每年發表研究報告。我國目前未有類似的資料庫以及有系統的統計分析，急 待學術界之投入。本研究預計蒐集並分析過去十年投保中心所提起之證券團體訴訟，對 於已結案件以及目前進行中之案件，就案件類型、起訴金額、判決金額、被告類型、賠 償責任人、授權人數、起訴所需時間、判決確定所需時間等，進行初步的統計分析，有 助於了解我國證券團體訴訟過去十年的發展情形，以及投保中心的定位及在公司治理發 展中扮演的角色。展望未來，本研究期盼透過本研究使台灣證券團體訴訟實現填補損害 與嚇阻不法之目的，使公司治理的相關制度更臻完備。
    Countries around the world are getting more interested in implementing procedures similar to those for class actions in the United States in order to deter corporate fraud and to enhance investor protection. This research presents the case of Taiwan as a novel example insofar as the law granted a nonprofit organization, the Investors Protection Center, a monopoly in the organization`s pursuit of securities class actions. Herein, the Securities Investors and Futures Traders Protection Act of 2002 has two important functions: it provides several provisions that relax restrictions in civil procedures that are hostile to group litigation, and it mandates the establishment of the Investors Protection Fund, which provides financial support for securities litigation. The non-distribution constraint of nonprofit organizations provides the Taiwan approach a natural insulation from the problem of frivolous lawsuits suffered by the United States, where lawyers` incentives serve as the main motive behind securities class action practice. It has been a decade since the establishment of the Investor Protection Center (IPC) of Taiwan in 2003. It is time to examine the effectiveness of securities class actions brought by the IPC in the past ten years. There are several databases and research institutes that follow closely about the development of securities class action in the United States. However, Taiwan has not established such database and relevant empirical research studies are rare. This research project will collect information about the securities class actions brought by the IPC in the past ten years and conduct empirical analysis. Furthermore, this study will also examine IPC`s role in corporate governance, such as bringing shareholder derivative suits and attending shareholders` meetings. Through this research study, I hope to promote corporate governance in Taiwan and provide policy proposals to strengthen the compensation and deterrence functions of securities class action in Taiwan.
    關聯: 計畫編號 NSC 102-2410-H004-094
    数据类型: report
    显示于类别:[法律學系] 國科會研究計畫

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