| Project/Area Number |
20K13366
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| Research Category |
Grant-in-Aid for Early-Career Scientists
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| Allocation Type | Multi-year Fund |
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| Review Section |
Basic Section 05060:Civil law-related
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| Research Institution | Kyoto University |
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Principal Investigator |
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| Project Period (FY) |
2020-04-01 – 2024-03-31
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| Project Status |
Completed (Fiscal Year 2023)
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| Budget Amount *help |
¥4,290,000 (Direct Cost: ¥3,300,000、Indirect Cost: ¥990,000)
Fiscal Year 2023: ¥1,040,000 (Direct Cost: ¥800,000、Indirect Cost: ¥240,000)
Fiscal Year 2022: ¥1,170,000 (Direct Cost: ¥900,000、Indirect Cost: ¥270,000)
Fiscal Year 2021: ¥1,170,000 (Direct Cost: ¥900,000、Indirect Cost: ¥270,000)
Fiscal Year 2020: ¥910,000 (Direct Cost: ¥700,000、Indirect Cost: ¥210,000)
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| Keywords | 課徴金 / 金融商品取引法 |
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| Outline of Research at the Start |
本研究では、①金融商品取引法上の課徴金制度の趣旨・性質を明らかにしたうえで、それを前提に、②法人に対する課徴金と役員等の民事責任制度との関係、③課徴金制度における被害者救済の観点の導入のあり方を検討する。
研究の方法としては、（わが国の課徴金制度のモデルにもなった）アメリカの民事制裁金制度に関する議論を分析・検討するという比較法的考察に加え、独占禁止法・景品表示法における課徴金制度との比較、およびその背景にある憲法・行政法・刑事法等における議論の参照・考察を通じて、法領域横断的観点から総合的な研究を行う。
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| Outline of Final Research Achievements |
Although the surcharge should be said to have the character of a sanction, even if it is imposed together with a criminal penalty, it does not violate the prohibition of double punishment, but only raises the problem of violation of the principle of proportionality. It should be said that a certain amount of responsibility is appropriate for the surcharge, and that the surcharge cannot be imposed until the subject is completely at fault. It is desirable to resolve the issue of whether or not a corporation can claim damages against its officers, etc., for the surcharge imposed on the corporation, by legislation based on the interests and incentives of the shareholders, etc., who are the substantial owners of the profits and losses of the corporation. Referring to the U.S. civil penalty system and Japan's Act on Unjustifiable Premiums and Misleading Representations, Japan should consider incorporating the perspective of victim relief into the surcharge system.
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| Academic Significance and Societal Importance of the Research Achievements |
課徴金制度は金融商品取引法の重要なエンフォース手段の1つである。しかし、その法的性格は必ずしも明確でない。課徴金の制裁としての性格および他の法原則との関係が明確になることで、課徴金制度を巡る解釈論上・立法論上の諸論点について解決の方向性が見得てくると考えられる。また、課徴金は被害者救済にも活用しうるところ、そのような法制度が実現すれば、社会的にも好ましいといえる。
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