内幕交易罪构成要件的若干问题研究

发布时间：2019-05-17 05:52

【摘要】：我国自上世纪八十年代建立证券市场以来，证券市场作为资本筹集和配置的重要场所对于我国经济社会的长足发展起到了不可替代的作用，但由于证券市场自身的高风险性和不确定性，导致证券价格往往是瞬息万变，各种影响证券价格的因素纷繁复杂，对证券市场的监督和管理就显得十分重要。内幕交易罪是证券市场中时有发生且十分典型的一种违法犯罪活动，长久以来，我国理论界与实务界都对内幕交易罪的犯罪构成等方面有过研究，但面对复杂多变的现实情况，同时对照国外相关的先进立法，有必要进一步厘清内幕交易罪的犯罪构成中的相关问题。内幕交易本质上是行为人因其获取的内幕信息而处于信息上的优势地位，进而借助这种优势地位从事证券交易谋取不正当利益。内幕交易违背了证券市场“公平、公正、公开”的“三公”原则，不仅破坏了证券市场的正常秩序，还对其他市场主体合法权益造成侵害。对于一般内幕交易行为，我国证监会借助相关行政法规进行打击；对于构成犯罪的内幕交易行为，我国刑法以刑罚的手段对其进行制裁。本文从刑法学的角度首先在第一部分对内幕交易罪的犯罪对象内幕信息做出阐述，论述了内幕信息的概念及范围、内幕信息的特征，关于内幕信息的特征提出了以重要性、未公开性和相关性为内容的三特征说。文章第二部分论述了内幕交易罪犯罪构成中的犯罪主体，，具体包括犯罪主体的属性以及犯罪主体的构成。文章第三部分对内幕交易罪的行为方式进行研究分析，以“利用”及泄露内幕信息、“建议”他人利用内幕信息进行交易为切入口界定了内幕交易罪的行为方式。第四部分也就是本文最后对内幕交易罪的犯罪构成提出立法上的完善建议，以期对内幕交易罪的刑法规制工作带来些许启示。
[Abstract]:Since the establishment of the securities market in China in the 1980s, the securities market, as an important place for capital raising and allocation, has played an irreplaceable role in the rapid development of China's economy and society. However, due to the high risk and uncertainty of the securities market itself, the securities price is often changing rapidly, and the factors that affect the securities price are numerous and complex, so it is very important to supervise and manage the securities market. Insider trading crime is a kind of illegal and criminal activity that occurs from time to time in the securities market. For a long time, the theoretical and practical circles of our country have studied the crime constitution of insider trading crime, but in the face of complex and changeable reality, At the same time, compared with the relevant advanced legislation abroad, it is necessary to further clarify the relevant problems in the crime of insider trading. In essence, insider trading is the dominant position of the actor in the information because of the insider information obtained by him, and then he is engaged in securities trading for improper interests with the help of this dominant position. Insider trading violates the principle of "fairness, fairness and openness" in the securities market, which not only destroys the normal order of the securities market, but also infringes on the legitimate rights and interests of other market subjects. For the general insider trading behavior, the CSRC deals with it with the help of relevant administrative regulations, and for the insider trading behavior which constitutes a crime, the criminal law of our country punishes it by means of penalty. From the perspective of criminal law, this paper first expounds the insider information of the criminal object of insider trading crime, discusses the concept and scope of insider information, the characteristics of insider information, and puts forward the importance of the characteristics of insider information. Lack of openness and relevance are the three characteristics of the content. The second part of the article discusses the crime of insider trading crime in the crime of the subject of crime, including the attributes of the subject of crime and the composition of the subject of crime. In the third part of the article, the behavior mode of insider trading crime is studied and analyzed, and the behavior mode of insider trading crime is defined by "using" and divulging insider information and "suggesting" others to use insider information for trading. The fourth part is the last part of this paper to improve the composition of the crime of insider trading, in order to bring some enlightenment to the criminal law regulation of the crime of insider trading.
【学位授予单位】：广东财经大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D924.3

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