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The Compensation System for the Misrepresentation of Publicly-held Corporations

Research Project

Project/Area Number 25380121
Research Category

Grant-in-Aid for Scientific Research (C)

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

Principal Investigator

WADA Munehisa  早稲田大学, 商学学術院, 教授 (60366987)

Project Period (FY) 2013-04-01 – 2016-03-31
Project Status Completed (Fiscal Year 2015)
Budget Amount *help
¥4,810,000 (Direct Cost: ¥3,700,000、Indirect Cost: ¥1,110,000)
Fiscal Year 2015: ¥1,300,000 (Direct Cost: ¥1,000,000、Indirect Cost: ¥300,000)
Fiscal Year 2014: ¥1,430,000 (Direct Cost: ¥1,100,000、Indirect Cost: ¥330,000)
Fiscal Year 2013: ¥2,080,000 (Direct Cost: ¥1,600,000、Indirect Cost: ¥480,000)
Keywords会社法 / 金融商品取引法 / 不実開示 / クラスアクション / 民事責任 / 課徴金 / アメリカ法 / 役員賠償責任保険 / 証券市場 / 虚偽記載 / 財務情報 / 不法行為 / 法人の損害賠償責任 / GAAP
Outline of Final Research Achievements

This study explored the functions of the issuer corporation liability system. I presumed that there are two functions of the liability system; to deter misleading statement or dishonest omission and; to compensate to investors who suffered from misleading statement or dishonest omission in order to enhance the integrity of the financial market. But, in this study, I suggested that there are some difficulties in the recent situation of implementation of the liability system and in the interpretation of provisions in Financial Instruments and Exchange Act because interests of many judges and scholars have overly focused on the problem of investor's damages from the misrepresentation. Finally, I concluded that we need to study about wide variety of the relating laws and systems around the issuer liability including D&O insurance, accounting system and auditing system in the future.

Report

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

    (10 results)

All 2015 2013

All Journal Article (7 results) (of which Acknowledgement Compliant: 1 results) Presentation (1 results) Book (2 results)

  • [Journal Article] エクイティ市場を侵食する「短期志向」への挑戦2015

    • Author(s)
      和田宗久
    • Journal Title

      ビジネス法務

      Volume: 15巻10号 Pages: 118-122

    • Related Report
      2015 Annual Research Report
  • [Journal Article] クラウドファンディングの現状と課題2015

    • Author(s)
      和田宗久
    • Journal Title

      株式会社ミロク情報サービス 税経システム研究所 Monthly Report

      Volume: 81号 Pages: 21-32

    • Related Report
      2015 Annual Research Report
  • [Journal Article] 株式会社における株式の保有構造とガバナンス2015

    • Author(s)
      和田宗久
    • Journal Title

      株式会社ミロク情報サービス 税経システム研究所 Monthly Report

      Volume: 65 Pages: 27-38

    • Related Report
      2014 Research-status Report
  • [Journal Article] 金融商品取引法二一条の二に基づく発行会社の投資家に対する損害賠償責任-アーバンコーポレイション事件最高裁判決2015

    • Author(s)
      和田宗久
    • Journal Title

      判例時報

      Volume: 2235 Pages: 151-168

    • Related Report
      2014 Research-status Report
    • Acknowledgement Compliant
  • [Journal Article] 会社法上・金商法上の民事責任制度と抑止機能2015

    • Author(s)
      和田宗久
    • Journal Title

      株式会社ミロク情報サービス 税経システム研究所 Monthly Report

      Volume: 73 Pages: 29-35

    • Related Report
      2014 Research-status Report
  • [Journal Article] (著書紹介)役員賠償責任保険と企業不祥事の相関関係2013

    • Author(s)
      和田宗久
    • Journal Title

      アメリカ法

      Volume: 2013-1 Pages: 123-131

    • Related Report
      2013 Research-status Report
  • [Journal Article] 財務情報の不実開示と法的責任(1)-「一般に公正妥当と認められる企業会計の基準・慣行」の概念とその逸脱に対する法的責任のあり方に関する一考察-2013

    • Author(s)
      和田宗久
    • Journal Title

      早稲田商学

      Volume: 438 Pages: 369-413

    • NAID

      120005452184

    • Related Report
      2013 Research-status Report
  • [Presentation] 上場会社の金融商品取引法上の不実開示責任と政策的考慮要素 -アメリカ・EUにおける議論を参考にして2015

    • Author(s)
      和田宗久
    • Organizer
      東京商事法研究会
    • Place of Presentation
      早稲田大学
    • Year and Date
      2015-03-28
    • Related Report
      2014 Research-status Report
  • [Book] 流通市場における上場会社の不実開示責任-アメリカにおける証券クラスアクションを巡る現状と議論の分析-(〈正井章筰先生古希祝賀〉企業法の現代的課題所収)2015

    • Author(s)
      和田宗久(共著)
    • Total Pages
      27
    • Publisher
      成文堂
    • Related Report
      2015 Annual Research Report
  • [Book] 不実開示と会社の損害賠償責任(『人間ドラマから会社法入門』所収)2015

    • Author(s)
      和田宗久(共著)
    • Total Pages
      13
    • Publisher
      日本評論社
    • Related Report
      2015 Annual Research Report

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Published: 2014-07-25   Modified: 2019-07-29  

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