风险投资企业集资刑事法律风险防控研究

发布时间：2019-03-23 19:00

【摘要】："风险投资"是社会资源的调节器,通过推动风险企业与拥有闲置资金的个人或机构互相结合,能够有效解决新兴企业因缺少原始启动资本的发展困局,降低社会资金闲置的时间成本。然而,投机主义和刑事法律风险的模糊,导致部分风险投资企业在集资业务操作中频频触及刑法底线,逐步沦为非法集资活动的犯罪主体。这不仅给企业及其管理者本身带来重创,而且给投资者的投资安全带来极大威胁,进而严重影响社会主义市场经济秩序。本文分为绪论、正文和结论三大部分。正文部分首先通过梳理分析风险投资的相关法律法规、非法集资的相关法律规定并结合从中国裁判网(2010-2016)收集的风险投资企业集资刑事案件,对风险投资企业集资刑事法律风险进行识别,总结出风险表现;其次从风险投资企业管理者非完全理性,风险投资企业缺乏法律风险防控部门,以及风险投资企业集资业务操作不规范三个角度,对风险投资企业集资刑事法律风险发生的原因进行较为深入地分析;最后,从提高管理者自我认知、科学决策、建立风险投资企业合规管理制度、规范风险投资企业集资业务操作四方面就如何建立风险投资企业集资刑事法律风险防控机制进行了具体的探讨。
[Abstract]:"Venture Capital" is the regulator of social resources. By promoting the combination of venture enterprises and individuals or institutions with idle funds, it can effectively solve the development difficulties of emerging enterprises due to the lack of original start-up capital. Reduce the time cost of social funds idle. However, the ambiguity of speculationism and criminal legal risk leads some venture capital enterprises to reach the bottom line of criminal law frequently in the operation of fund-raising business, and gradually becomes the criminal subject of illegal fund-raising activities. This not only brings heavy damage to enterprises and their managers themselves, but also poses a great threat to investors' investment security, thus seriously affecting the order of socialist market economy. This paper is divided into three parts: introduction, text and conclusion. In the first part of the text, through combing and analyzing the relevant laws and regulations of venture capital, the relevant laws and regulations of illegal fund-raising are combined with the criminal cases of venture capital raising of venture capital enterprises collected from China referee Network (2010 / 2016). To identify the criminal legal risks of venture capital enterprises and summarize the risk performance; Secondly, from three angles: the managers of venture capital enterprises are not fully rational, the venture capital enterprises lack legal risk prevention and control departments, and the operation of venture capital enterprises' fund-raising business is not standardized. The causes of the criminal legal risk of venture capital enterprises raising funds are analyzed in-depth. Finally, from improving managers' self-cognition, scientific decision-making and establishing compliance management system of venture capital enterprises, This paper discusses in detail how to establish the criminal legal risk prevention and control mechanism of venture capital enterprises in four aspects of standardizing the operation of venture capital enterprises' fund-raising business.
【学位授予单位】：西南石油大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D924

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