지원사업
학술연구/단체지원/교육 등 연구자 활동을 지속하도록 DBpia가 지원하고 있어요.
커뮤니티
연구자들이 자신의 연구와 전문성을 널리 알리고, 새로운 협력의 기회를 만들 수 있는 네트워킹 공간이에요.
초록· 키워드
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A registered offering under the Securities and Exchange Act (hereinafter it'l1 be epitomized 'The Act') requires that a registration statement be utilized. A key policy underlying this requirements is to enable prospective purchasers to make informed investment decisions based upon the disclosure of adequate and truthful information regarding the issuer, its associated persons, etc. This policy is frustrated when a registration statement(including the prospectus that comprises part of the registration statement) contains materially false or misleading statements.
In view of the above, investors under certain conditions may recover their losses if they purchase securities pursuant to a registration statement containing a material misrepresentation or nondisclosure. The Act's provisions most likely to be invoked in this context are Section 14, 15, 16.
The Act has special provisions for damaged investors due to the false or misleading statements in a registration statement and prospectus. The above provisions originally was promulgated to make damages upon breach of The Act appropriate in consideration of the characteristics of securities market in which trade is usually made by non-face-to-face among many or unspecified parties.
In other words the focus should be upon the harmonization between the principle of perfect investor protection and adequate criteria to obliger for damages in order to make securities market function properly. Therefore in order for a bit of truthful information and fair rule to be permeated generally in securities market, the institution that make possible appropriate liability against the violation of laws, proper damages and relief is needed.
In the final analysis in micro perspective it is needless to say that the provision of damages upon false or misleading statement in a registration statement be articulated meticulously. Futhermore with the introduction of class action system in The Act, motives for bringing a suit among investors will be stronger so I think a research how to optimize the problem of assessment of the amount of damages in macro perspective is urgently necessary in view of the limitations of established provision in solving the above assessment problem and in the long term the introduction of punitive damages should be reviewed positively.
In view of the above, investors under certain conditions may recover their losses if they purchase securities pursuant to a registration statement containing a material misrepresentation or nondisclosure. The Act's provisions most likely to be invoked in this context are Section 14, 15, 16.
The Act has special provisions for damaged investors due to the false or misleading statements in a registration statement and prospectus. The above provisions originally was promulgated to make damages upon breach of The Act appropriate in consideration of the characteristics of securities market in which trade is usually made by non-face-to-face among many or unspecified parties.
In other words the focus should be upon the harmonization between the principle of perfect investor protection and adequate criteria to obliger for damages in order to make securities market function properly. Therefore in order for a bit of truthful information and fair rule to be permeated generally in securities market, the institution that make possible appropriate liability against the violation of laws, proper damages and relief is needed.
In the final analysis in micro perspective it is needless to say that the provision of damages upon false or misleading statement in a registration statement be articulated meticulously. Futhermore with the introduction of class action system in The Act, motives for bringing a suit among investors will be stronger so I think a research how to optimize the problem of assessment of the amount of damages in macro perspective is urgently necessary in view of the limitations of established provision in solving the above assessment problem and in the long term the introduction of punitive damages should be reviewed positively.
목차
1. 서론
2. 대상행위
3. 손해배상청구권자와 손해배상의무자의 범위
4. 항변
5. 부실표시와 손해간의 인과관계에 대한 입증책임
6. 손해배상액의 산정
7. 손해배상청구기간
8. 결론
참고문헌
Abstract
참고문헌 (37)
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