论场外金融衍生产品交易欺诈犯罪——以美国《证券法》和《证券交易法》为视角
发布时间：2019-01-06 18:08
【摘要】：场外金融衍生产品交易是一把高收益、高风险的"双刃剑",在交易过程中欺诈行为屡见不鲜,本文以美国《证券法》和《证券交易法》对欺诈犯罪的规定为视角,依据刑法谦抑原则,探讨了场外金融衍生产品交易的反欺诈规则,明确什么样的行为是欺诈侵权行为;然后要从欺诈侵权行为中进一步分离出犯罪构成要素,确定哪些欺诈侵权行为构成欺诈犯罪,并介绍了相关的刑罚规定。
[Abstract]:OTC derivatives trading is a "double-edged sword" with high returns and high risks. Fraud is common in the course of trading. This paper takes the provisions of the Securities Act and the Securities Exchange Act of the United States as the perspective of fraud crime. According to the principle of modesty of criminal law, this paper probes into the anti-fraud rules of over-the-counter financial derivative trading, and clarifies what kind of behavior is fraudulent infringement. Then it is necessary to separate out the elements of the crime from the fraud tort, determine which fraud tort constitutes the fraud crime, and introduce the relevant penalty provisions.
【作者单位】： 最高人民检察院;
【基金】：国家检察官学院2012年度科研基金资助项目“场外金融衍生产品内幕交易及欺诈犯罪研究”阶段性成果
【分类号】：D971.2;DD912.28
[Abstract]:OTC derivatives trading is a "double-edged sword" with high returns and high risks. Fraud is common in the course of trading. This paper takes the provisions of the Securities Act and the Securities Exchange Act of the United States as the perspective of fraud crime. According to the principle of modesty of criminal law, this paper probes into the anti-fraud rules of over-the-counter financial derivative trading, and clarifies what kind of behavior is fraudulent infringement. Then it is necessary to separate out the elements of the crime from the fraud tort, determine which fraud tort constitutes the fraud crime, and introduce the relevant penalty provisions.
【作者单位】： 最高人民检察院;
【基金】：国家检察官学院2012年度科研基金资助项目“场外金融衍生产品内幕交易及欺诈犯罪研究”阶段性成果
【分类号】：D971.2;DD912.28
【共引文献】
相关期刊论文 前10条
1 江伟;片面共犯的成立范围与处罚依据[J];安庆师范学院学报(社会科学版);2004年04期
2 陈兴旺;陈娟娟;;我国相对负刑事责任年龄的立法缺陷与重构[J];北京青年政治学院学报;2006年02期
3 冉，
本文编号：2403143
本文链接：https://www.wllwen.com/falvlunwen/fashilw/2403143.html
