Research Paper 金融取引におけるリスクの多層化と民事責任体系の再構築

新堂, 明子

pp.1 - 6 , 2015-05
研究成果の概要 (和文) : (1) 実体法の観点では、金融市場の不法行為リスクに焦点を当て、日本、イギリス、ドイツにおける有価証券虚偽記載の賠償責任に即して、伝統的な民事責任法理の枠組の下で、法規制の保護目的とそれに対応する発行者の義務射程と、投資者の市場リスク引受けの構造を明らかにした。(2) 手続法の領域では、金融ADRや消費者裁判特例法に代表される新たな枠組みを通じた法のエンフォースメントの実効性につき検討を行った。(3) 金融のグローバル化という現象を踏まえて、渉外的な環境の下での法の適用関係や裁判・執行管轄権の行使のあり方について抵触法上の分析を行った。
研究成果の概要 (英文) : (1) From a substantive law perspective, we focused on a tortious risk in the financial market. Specifically, we examined the fraudulent misrepresentation cases in the financial statements of the company in Japan, England and Germany. We analyzed that the liabilities in these cases were decided on the balance between the scope of the duty owed by the defendant company and the assumption of the market risk by the plaintiff shareholders.(2) From a procedural law perspective, we researched a new system, Kinyu ADR (Financial Alternative Dispute Resolution), and a new statute, Shohisha Saiban Tetsuzuki Tokurei-Ho (Consumer Action Procedure Act). We examined the effectiveness of the law enforcement through these new systems.(3) In light of the globalization in the financial market, we made conflict-of-laws analyses on applicable laws and states’ jurisdictions (especially, judicial and executive jurisdictions) related to cases with some international factors within them.

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