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"连带赔偿责任",是怎样拖垮公司的?|中介机构_新浪科技_新浪网


在中安科等案件中,尽管仅有发行人受到了行政处罚,法院却因此同意将所有中介机构均列为被告,理由是“行政处罚决定系法院受理案件的依据,而非确定诉讼被告的依据”。
这实际上是颠倒了轻重逻辑。对中介机构没有针对性的行政处罚时,既然不满足“起手式”的案件受理环节要求,就不应该认为反而能满足更高层次的实体审理和定责的标准。
2020年7月的《关于证券纠纷代表人诉讼若干问题的规定》,既规定了强化原告的诉讼力的代表人机制,又进一步放低了举证门槛。除了行政处罚、刑事判决外,证券交易场所等给予的纪律处分或采取的自律管理措施等,也能作为证明证券侵权事实的初步证据,用来提起代表人诉讼。
这些本来只是针对较轻的违法违规行为所做出的的惩戒措施,似乎仍能坐享被诉违规行为造成了投资者的交易 ....

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