利用未公开信息交易罪疑难问题研究

发布时间：2018-06-24 07:38

本文选题：利用未公开信息交易罪 + 金融犯罪　；参考：《浙江大学》2014年硕士论文

【摘要】：经过近三十年的发展,我国资本市场得到了长足发展,同时也暴露出了许多问题。为了有效地打击和遏制在基金业日益猖獗的利用未公开信息违法牟利的行为,《刑法修正案(七)》增设了利用未公开信息交易罪。但是,自该罪名设立以来,却鲜有这方面的刑事案例出现,而相关违规交易行为却呈现高发态势,本罪的法律效果和社会效果尚未得以充分发挥。本文借着对相关“老鼠仓”事件的回顾与反思,对比参照国外有益的法制经验,深入剖析利用利用未公开信息交易罪实践应用中的疑难问题,提出相对合理的立法完善建议,希冀对利用未公开信息交易罪的应用发展做有益探讨。本文正文共分五大部分。第一部分为利用未公开信息交易罪的概论,主体部分为该罪设立的立法价值,包括了利用未公开信息进行违法交易行为的社会危害性和应受刑罚处罚性。第二部分则是阐述利用未公开信息交易罪的立法实践—我国现有的立法状况与域外法治发达地区的刑事立法比较,从而突显出我国现有的一元型立法模式。第三部分是利用未公开信息交易罪的刑法构成要件分析,重点从犯罪对象、客观行为、犯罪主体、主观故意四个方面展开。第四部分是提出利用未公开信息交易罪在我国立法上的不足：定位模糊和准用性金融法规的缺失,然后针对这两大问题提出合理性的完善建议。最后一个部分为利用未公开信息交易罪在司法认定中的疑难问题,重点分析了未公开信息的认定及其与内幕信息的区别、刑事举证和利用未公开信息交易活动的关联性判断。
[Abstract]:After nearly 30 years of development, China's capital market has been greatly developed, but also exposed a lot of problems. In order to effectively crack down on and curb the increasingly rampant illegal use of unpublished information for profit in the fund industry, the Criminal Law Amendment (7) establishes the crime of using undisclosed information for trading. However, since the establishment of the crime, there are few criminal cases in this area, and the related illegal transactions show a high trend, the legal and social effects of this crime have not been fully played. By reviewing and reflecting on the related "rat storehouse" events, comparing and referring to the beneficial legal experience of foreign countries, this paper makes a thorough analysis of the difficult problems in the practical application of the crime of using the undisclosed information transaction, and puts forward some relatively reasonable suggestions for the perfection of the legislation. It is hoped that the application and development of the crime of using unpublished information transaction will be discussed. The text of this paper is divided into five parts. The first part is an introduction to the crime of using unpublished information, the main part is the legislative value of the crime, including the social harmfulness and punishment of the illegal transaction by using the unpublished information. The second part is to expound the legislative practice of using the crime of unpublished information transaction-the present legislative situation of our country is compared with the criminal legislation in the developed areas with the rule of law outside the country, thus highlighting the existing monistic legislative model of our country. The third part is the use of the criminal law elements of the crime of unpublished information transaction, focusing on the object of the crime, objective behavior, the subject of the crime, subjective intent. The fourth part is to put forward the use of the crime of unpublished information transaction in our legislation deficiencies: positioning fuzzy and the lack of applicable financial laws and regulations, and then put forward reasonable suggestions for these two major problems. The last part is the difficult problem of using the crime of unpublished information transaction in the judicial cognizance, focusing on the analysis of the identification of unpublished information and the difference between the unpublished information and the inside information, the relevance judgment of the criminal proof and the use of the unpublished information transaction activity.
【学位授予单位】：浙江大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D924.3

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