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論著名稱:
Morrison v. National Australia Bank 案後證券詐欺訴訟的當前挑戰(A Contemporary Challenge for Securities Fraud Litigation after the Morrison v. National Australia Bank Case)
文獻引用
編著譯者: 吳盈德
出版日期: 2014.09
刊登出處: 台灣/National Taiwan University Law Review第 9 卷 第 2 期/233-281 頁
頁  數: 45 點閱次數: 1320
下載點數: 180 點 銷售明細: 權利金查詢 變更售價
授 權 者: 吳盈德
關 鍵 詞: 反詐欺條款境外適用行為檢驗標準效果檢驗標準交易檢驗標準
中文摘要: 面對全球資本市場持續快速的整合,導致證券市場的連動性愈來愈高,美國國會在透過法律的形式來規範證券詐欺行為前,預先進行一個健全、完整且系統性的考量是非常重要的。當前的挑戰是,全球經濟成長呈現明顯的下滑趨勢,且最近全球金融市場動盪所引發的證券交易爭訟問題,不再只侷限於單一的國家或地區的管轄,而是遍布全球。本文主要研究問題有二:首先,介紹 Morrison 案之後當前證券詐欺訴訟的挑戰,並藉由美國證券詐欺訴訟發展之沿革,詳細的分析 Morrison 案對證券詐欺訴訟的影響,並探討美國證券交易委員會如何因應及加強管制在 Morrison 案後的證券詐欺行為;其次,藉由 Morrison 案的相關分析,來探討行為檢驗標準、效果檢驗標準及交易檢驗標準與證券詐欺訴訟行為的關聯。綜上所述,本文嘗試提出假設並建議美國證券交易委員會應重新審視及考量其當前的管制範圍,尤其是在 Morrison 案後,來自美國最高法院有關證券詐欺訴訟的最新及相關之見解。
英文關鍵詞: Anti-fraud ProvisionExtraterritorial ApplicationConduct TestEffects TestTransactional Test
英文摘要: As worldwide securities markets continue to integrate rapidly, it is important that Congress undertake a complete, thoughtful, and nuanced consideration before giving a legal shape to the challenge of fraud securities litigation. A contemporary challenge is now a prominent market decline as the recent crisis brings questions of legal responsibility which are no longer confined to one single jurisdiction, but rather spans the world. The purpose of this article is to present this contemporary challenge for the securities fraud litigation after the Morrison case. By covering the historical development of fraud securities litigation within the U.S., this article assesses the implications of the Morrison case on fraud securities litigation, discusses how SEC could employ approaches and strengthen its ability to enforce the post-Morrison fraud securities litigation, and then offers a critical analysis of the post-Morrison cases. This is followed by a review of conduct-effects tests and global fraud securities litigation. With these reviews in mind, this article concludes with an invitation and recommendation for the SEC to re-examine and reconsider its contemporary regulatory reach, especially after the Morrison case, which expresses the most recent and relevant word from the U.S. Supreme Court on the topic.
目  次: I. INTRODUCTION
II. HISTORICAL DEVELOPMENT OF SECURITIES FRAUD LITIGATION
III. MORRISON V. NATIONAL AUSTRALIA BANK
IV. CONDUCTS AND EFFECTS TESTS
A. Conduct Tests
B. Effects Test
V. A POST-MORRISON CHALLENGE FOR FRAUD SECURITIES LITIGATION
VI. CONCLUSION
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相關論著:
吳盈德,Morrison v. National Australia Bank 案後證券詐欺訴訟的當前挑戰,National Taiwan University Law Review,第 9 卷 第 2 期,233-281 頁,2014年09月。
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