中韩两国禁止内幕交易法律制度比较研究

发布时间：2018-01-16 09:37

本文关键词：中韩两国禁止内幕交易法律制度比较研究　出处：《延边大学》2009年硕士论文　论文类型：学位论文

【摘要】： 随着我国经济市场的蓬勃发展,一方面,证券市场的股票交易量大幅提高,资金流转快,另一方面,由于利益驱使,内幕交易在证券市场越来越蔓延,极大影响了投资者的信心和证券市场的稳定发展。本文的主要以比较分析的方法,对中韩两国禁止内幕交易法律制度进行了较为系统和深入的比较研究,在分析两国制度上的共同点和差异点的基础上,借鉴韩国禁止内幕交易制度的先进之处,提出了完善我国禁止内幕交易制度的若干建议。全文共分为六章。第一章是撰写这篇论文的目的、范围及意义。第二章主要论述了内幕交易的概述,即内幕交易的概念,内幕交易的现状,禁止内幕交易的必要性。首先,分析因我国现实存在的内幕交易的现状,导致外国投资者对中国金融市场的不安和内幕交易行为对中国的证券市场引起实质性的金钱损害问题。其次,从历史、文化、社会、经济、法律、政策方面论述内幕交易的产生。最后,论述禁止内幕交易的必要性。第三章主要介绍了韩国禁止内幕交易的法律制度。考察了中国禁止内幕交易法律制度的基础上,为了下文的比较分析,也分别从内幕交易的法律沿革,内幕人的范围,内幕信息的范围及构成要件,内幕交易行为方式,内幕交易的法律责任等内容进行了研究。第四章主要介绍了中国禁止内幕交易法律制度,即禁止内幕交易的法律沿革,内幕人的范围,内幕信息的范围及构成要件,内幕交易的行为方式,内幕交易的法律责任。我国证券业起步较晚,但是内幕交易逐年在增多,原因是我国对证券交易的一些规定比较机械;就一些案件查处中的重要方面,我国欠缺相关规定,增加了对内幕交易的查处困难;相关的理论准备也比较欠缺;执法行动仍较迟缓。第五章对中韩两国禁止内幕交易法律制度的内容进行了比较,比较中发现我国禁止内幕交易法律制度存在的问题。从内幕交易的体系,内幕人的范围,内幕信息的范围及构成要件,内幕交易的法律责任等四个方面提出了健全和完善我国禁止内幕交易法律制度的建议,为了证券市场的蓬勃发展,更好地适应国际国内形势的发展,禁止内幕交易法律制度应适应国际上禁止内幕交易法律制度的共同趋势。第六章在结论部分,对论文进行了简要概括,并再次强调禁止内幕交易的重要性和紧迫性,这不仅是我国证券市场的需要,而且是我国经济发展的需要。
[Abstract]:Along with the vigorous development of our country's economic market, on the one hand, the stock trading volume of the securities market has been greatly increased, and the circulation of funds is fast. On the other hand, because of profit, insider trading is spreading more and more in the securities market. It has greatly affected the confidence of investors and the stable development of the securities market. This paper makes a systematic and in-depth comparative study on the legal system of prohibiting insider trading between China and South Korea by means of comparative analysis. On the basis of analyzing the common points and differences between the two countries' systems, this paper draws lessons from the advantages of Korea's system of prohibiting insider trading, and puts forward some suggestions on how to perfect the system of prohibiting insider trading in China. The full text is divided into six chapters. The first chapter is the purpose, scope and significance of this paper. The second chapter mainly discusses the outline of insider trading, that is, the concept of insider trading, the current situation of insider trading, the necessity of prohibiting insider trading. Causes the foreign investor to the Chinese financial market uneasiness and the insider trading behavior to the Chinese stock market causes the material money damage question. Secondly, from the history, the culture, the society, the economy, the law. Finally, it discusses the necessity of prohibiting insider trading. The third chapter mainly introduces the legal system of the prohibition of insider trading in South Korea. On the basis of investigating the legal system of prohibiting insider trading in China, for the sake of the comparative analysis below, it also introduces the legal history of insider trading. The scope of insider, the scope and elements of insider information, the behavior of insider trading and the legal liability of insider trading are studied. Chapter 4th mainly introduces the legal system of the prohibition of insider trading in China, that is, the legal evolution of the prohibition of insider trading, the scope of insider trading, the scope and elements of insider information, and the behavior of insider trading. The legal liability of insider trading. China's securities industry started late, but insider trading is increasing year by year, because some regulations of securities trading in our country are relatively mechanical; With regard to the important aspects of investigation and punishment of some cases, our country lacks relevant regulations, which makes it more difficult to investigate and deal with insider trading. The relative theoretical preparation is also relatively deficient; Enforcement is still slow. Chapter 5th compares the contents of the legal system of prohibiting insider trading between China and South Korea, and finds out the problems existing in the legal system of prohibiting insider trading in China, from the system of insider trading to the scope of insider trading. The scope and constitutive requirements of insider information, the legal liability of insider trading and other four aspects proposed to improve and improve the legal system against insider trading in China, for the vigorous development of the securities market. In order to adapt to the development of the international and domestic situation, the legal system of prohibiting insider trading should adapt to the common trend of the international legal system of prohibiting insider trading. In the conclusion part of Chapter 6th, the thesis is briefly summarized, and the importance and urgency of prohibiting insider trading are emphasized again, which is not only the need of China's securities market, but also the need of our country's economic development.
【学位授予单位】：延边大学
【学位级别】：硕士
【学位授予年份】：2009
【分类号】：D922.287-03;D931.26

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