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A Comparative Study concerning legal Regulation of Rating Agencies

Research Project

Project/Area Number 24530097
Research Category

Grant-in-Aid for Scientific Research (C)

Allocation TypeMulti-year Fund
Section一般
Research Field Civil law
Research InstitutionSeijo University

Principal Investigator

YAMADA Tsuyoshi  成城大学, 法学部, 教授 (30282966)

Project Period (FY) 2012-04-01 – 2016-03-31
Project Status Completed (Fiscal Year 2015)
Budget Amount *help
¥4,550,000 (Direct Cost: ¥3,500,000、Indirect Cost: ¥1,050,000)
Fiscal Year 2014: ¥1,170,000 (Direct Cost: ¥900,000、Indirect Cost: ¥270,000)
Fiscal Year 2013: ¥1,690,000 (Direct Cost: ¥1,300,000、Indirect Cost: ¥390,000)
Fiscal Year 2012: ¥1,690,000 (Direct Cost: ¥1,300,000、Indirect Cost: ¥390,000)
Keywords格付会社 / 民事責任 / 比較法 / 金融商品取引法 / ドットフランク法 / 証券市場 / ゲートキーパー / ドッドフランク法 / IOSCO / 欧州委員会 / 証券化商品 / アナリスト
Outline of Final Research Achievements

As a conclusion of my research is that the civil responsibility of the credit rating agencies depends on whether its contract is existed or not, official or non-official rating.As for the non-official rating, it is estimated that the credit rating agencies are not responsible for general investor and the nation. But for the official ratings, even if internal proceedings are same, it might cause the damages and tort because there exits the contract between clients and the credit rating agency. Same time, if the understanding of the basic conditions is different, there would be damages also. In that case, there is causality between the negligence and damages. As a result, there might be responsible for the credit rating agencies, concerning the ratings.
In this way, in my research, I would classify into two categories of the credit rating,I pointed out that there exits the gap of the civil responsibility.

Report

(5 results)
  • 2015 Annual Research Report   Final Research Report ( PDF )
  • 2014 Research-status Report
  • 2013 Research-status Report
  • 2012 Research-status Report
  • Research Products

    (8 results)

All 2016 2015 2014

All Journal Article (5 results) (of which Peer Reviewed: 2 results,  Open Access: 2 results,  Acknowledgement Compliant: 1 results) Presentation (1 results) Book (2 results)

  • [Journal Article] 証券会社の破綻処理と証券会社取締役の注意義務2016

    • Author(s)
      山田剛志
    • Journal Title

      金融・商事判例

      Volume: 1483 Pages: 2-7

    • NAID

      40020716543

    • Related Report
      2015 Annual Research Report
  • [Journal Article] 債権法改正と銀行実務(第1回)詐害行為取消権と債権回収2016

    • Author(s)
      山田剛志
    • Journal Title

      ビジネス法務

      Volume: 16(2) Pages: 92-96

    • NAID

      40020680851

    • Related Report
      2015 Annual Research Report
  • [Journal Article] 銀行によるデリバティブ取引と法人顧客の適合性2015

    • Author(s)
      山田剛志
    • Journal Title

      判例タイムズ

      Volume: 1410 Pages: 35-46

    • Related Report
      2014 Research-status Report
    • Peer Reviewed / Open Access / Acknowledgement Compliant
  • [Journal Article] 社外取締役及び社外監査役の注意義務基準をめぐる考察2015

    • Author(s)
      山田剛志
    • Journal Title

      銀行法務21

      Volume: 786 Pages: 36-41

    • Related Report
      2014 Research-status Report
    • Peer Reviewed / Open Access
  • [Journal Article] 債権法改正と銀行実務:中間試案に基づく検討(第3回)預金業務と相殺2014

    • Author(s)
      山田剛志
    • Journal Title

      ビジネス法務

      Volume: 14(1) Pages: 149-153

    • NAID

      40019871161

    • Related Report
      2013 Research-status Report
  • [Presentation] 証券会社の破綻と投資者保護基金2015

    • Author(s)
      山田剛志
    • Organizer
      金融商品取引法研究会
    • Place of Presentation
      東京証券会館
    • Year and Date
      2015-03-23
    • Related Report
      2014 Research-status Report
  • [Book] 金融商品取引法制の潮流2015

    • Author(s)
      金融商品取引法研究会編、前田雅弘、太田洋、中東正文、近藤光男、山田剛志、神田秀樹、神作裕之、川口恭弘、青木浩子、松尾直彦、藤田友敬、黒沼悦郎、中村聡
    • Total Pages
      366
    • Publisher
      日本証券経済研究所
    • Related Report
      2014 Research-status Report
  • [Book] 「金融商品取引法研究会記録」2014

    • Author(s)
      山田剛志
    • Publisher
      日本証券経済研究所
    • Related Report
      2013 Research-status Report

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Published: 2013-05-31   Modified: 2019-07-29  

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