论我国反内幕交易法律制度的完善

发布时间：2018-04-11 07:28

本文选题：内幕交易 + 金融　；参考：《延边大学》2015年硕士论文

【摘要】：在我国现今的经济发展中内幕交易行为一直屡禁不止,究其原因可以分为两个方面,一个方面是我国在内幕交易方面的法律规制并不健全,另一个方面是我国在反内幕交易的行业自律监管体制上的缺失。根据我国目前的经济发展现状笔者认为我国应该直视问题的存在,并运用合法、合理的手段去解决目前存在的问题。在此笔者认为制定《反内幕交易法》和建立行业自律监管体制是解决内幕交易问题的关键之一。本文主要是分五个部分来对我国的反内幕交易法律制度进行探究。第一部分为绪论,主要的内容是介绍研究内幕交易的目的和意义、我国在内幕交易上研究的现状、本文所使用的研究方法。第二部分是对内幕交易概述进行的介绍,主要是介绍内幕交易的概念、主体、客体、行为,在通过概述的介绍来分析8.16事件。其中体现出的问题有法律对内幕交易认定的授权不明确以及对内幕交易的认定标准上并不全面;我国法律对内幕交易的规定过于零散,不利于执法者的执法;受损者在内幕交易发生后追偿过于困难等问题。第三部分是对中外反内幕交易立法现状的介绍,总结出我国在反内幕交易法律制度建设上可以借鉴或者是学习的相关法律制度。第一可以借鉴的是欧盟的立法结构,欧盟是以一个基本法为主,三个指令实施细则和一个条例为辅的,而我国的反内幕交易法律却是散落在众多的法律和政府规章之中;第二欧盟在内幕交易管制的内容上是完全覆盖在整个金融系统,而我国却是只停留在证券行业,我国的法律规定显然不符合未来经济的发展需要;第三欧盟法律中提到的避风港规则,在避风港规则概念上我国是完全空白的,而从经济发展趋势上讲,建立避风港规则不光是填补了我国在内幕交易法律规制的空白,更是为我国的经济发展与世界接轨减小摩擦、缩短距离的必要手段。第四我国在金融行业并不存在自律监管体制,英国的行业自律监管体制值得我国借鉴。第四部分是对我国反内幕交易法律制度的构建上提出的几点建议,主要是从制定《反内幕交易法》、法院收归内幕交易的认定权、内幕交易的管制扩大到金融领域、建立内幕交易的责任豁免制度、设立反内幕交易委员会五个方面进行论述。
[Abstract]:In the present economic development of our country, insider trading has been prohibited repeatedly. The reasons can be divided into two aspects. One aspect is that the legal regulation on insider trading is not perfect in our country.Another aspect is the absence of self-regulation system in anti-insider trading industry.According to the present economic development situation of our country, the author thinks that our country should look directly at the existence of the problem, and use legal and reasonable means to solve the existing problem.In this paper, the author thinks that it is one of the keys to solve the problem of insider trading to formulate the Anti-insider Trading Law and to establish an industry self-regulatory system.This article is divided into five parts to explore the anti-insider trading legal system in China.The first part is the introduction, the main content is to introduce the purpose and significance of the study of insider trading, the current situation of the research on insider trading in China, and the research methods used in this paper.The second part is an overview of insider trading, mainly introduces the concept of insider trading, subject, object, behavior, through the introduction of the summary to analyze the 8.16 event.The problems reflected in the law are that the authorization of insider trading is not clear and the standard of insider trading is not comprehensive, the regulations on insider trading in our country are too fragmented, which is not conducive to the enforcement of the law.It is too difficult for the injured to recover after insider trading.The third part introduces the current situation of anti-insider trading legislation in China and foreign countries, and summarizes the relevant legal systems that can be used for reference or learned in the construction of anti-insider trading legal system in China.The first is the legislative structure of the European Union, which is mainly based on one basic law, supplemented by three directives and one regulation, while the anti-insider trading laws of our country are scattered in numerous laws and government regulations.The second EU is completely covered in the whole financial system in the content of insider trading regulation, but our country is only in the securities industry, the legal provisions of our country obviously do not meet the needs of the future economic development;In the third EU law, the safe haven rules mentioned in the EU law are completely blank in the concept of safe haven rules in our country. In terms of the trend of economic development, the establishment of haven rules not only fills up the gaps in the legal regulation of insider trading in our country.It is also necessary to reduce friction and shorten distance for the economic development of our country.Fourth, there is no self-regulatory system in financial industry in our country.The fourth part is the construction of the anti-insider trading legal system in China, mainly from the formulation of "Anti-Insider Trading Law", the court back to the right to identify insider trading, the regulation of insider trading to expand to the financial field.The establishment of insider trading liability exemption system, the establishment of anti-insider trading committee in five aspects.
【学位授予单位】：延边大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.287

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