论刑法中的利用未公开信息交易行为

发布时间：2018-04-03 20:16

本文选题：利用未公开信息交易行为　切入点：未公开信息　出处：《湘潭大学》2014年硕士论文

【摘要】：为了打击新型的利用未公开信息进行证券、期货交易活动的犯罪行为,刑法修正案(七)新增了利用未公开信息交易罪。对于本罪行为,理论界在诸多方面尚有较大分歧。在利用未公开信息交易行为的行为手段上,基于法条的规定及与内幕信息的相似性,本行为中“未公开信息”是指内幕信息之外的其他对证券发行、证券、期货交易或者交易价格有重大影响的未公开信息,其应当具有重大影响性、区别于内幕信息性、未公开性等特征；而对于“因职务便利获取”的含义,则是既包括行为人利用工作上基于其工作而产生的权责上的便利,也包括利用基于其工作而产生的各种便利条件。在本行为的行为内容上,“违反规定”,是指违反相关法律、行政法规、规章和全国性的、行业内部的规章制度与业务规则；行为方式上,“本人交易活动”不仅可以包括行为人使用自己的证券、期货账户进行交易,而且也包括行为人通过自己实际控制的他人账户进行交易,但不包括不作为,而示意他人进行交易活动是指行为人在获知未公开信息后,明确地指示或者暗示他人进行相关证券、期货交易活动。基于以上行为特征,利用未公开信息交易行为与内幕交易行为、操纵证券、期货市场行为在行为手段、行为内容上都具有重大区别。
[Abstract]:In order to crack down on the new criminal behavior of using unpublished information for securities and futures trading, the Criminal Law Amendment (7) adds the crime of using unpublished information to trade.For this crime, there are still a lot of differences in the theoretical circle.On the basis of the provisions of the law and the similarity with the insider information, the term "undisclosed information" in this act refers to the issuance of securities and securities other than insider information.The undisclosed information that has a significant impact on futures trading or trading prices shall have a significant impact, as distinguished from the characteristics of insider information and non-disclosure, and the meaning of "facilitating access by virtue of position",It includes both the use of the rights and responsibilities of the actor based on his work, and the use of all kinds of facilities based on his work.In terms of the content of this act, "violation of the provisions" means violation of relevant laws, administrative regulations, rules and regulations, national rules and regulations and business rules and regulations within the industry; in the manner of conduct,"personal trading activities" may include not only the use of their own securities and futures accounts for transactions by the actor, but also the conduct of transactions by the actor through the accounts of other persons under his actual control, but excluding inaction,And the signalling other people to carry on the transaction activity is refers to the actor after obtains the unpublished information, clearly instructs or implies the other person to carry on the related securities, the futures trading activity.Based on the above behavior characteristics, there are significant differences between the behavior of unpublished information trading and insider trading, manipulation of securities and futures market in terms of behavior means and content.
【学位授予单位】：湘潭大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D924.3

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