证券从业人员违背职责行为的刑法规制研究

发布时间：2018-03-02 22:02

本文选题：证券从业人员违背职责行为　切入点：刑法规制　出处：《中央民族大学》2012年硕士论文　论文类型：学位论文

【摘要】：近年来,伴随着金融在国民经济中核心作用的日益凸显,证券的重要性亦不言而喻,其涉及面广,交易资金量大,在融通资本方面举足轻重。与此同时,证券也成为了不法分子猎取巨额财富的目标,部分证券从业人员亦怀抱着侥幸心理,推波助澜,试图钻法律的空子,追逐巨额财富,对法律的严肃性缺乏认识,对违法行为的危害性缺乏认知,利用职权进行操纵、诈欺、侵吞等行为屡禁不止。究其原因,虽有证券市场逐步成熟需要付出一定成本的必然,也有体制机制建构上的疏漏,还有证券权利人的整体失语。然而证券从业人员违背职责的行为惩治却是其中不可忽略的原因之一,本文便是以此为对象,选取经济刑法这一视角,认真梳理了证券从业人员违背职责行为的刑法规制现状、规制的原因分析,对规制作出评价并提出完善建议。证券从业人员违背职责的刑法规制经历了从身份规制到行为规制的变迁,经历了从惩罚到治理的转变,体现了经济刑法一定的发展轨迹,也展现了经济法宏观调控的历史脉络。虽然各种部门法都有别于其他部门法的基础,但都越来越不同程度地融合到参与国家社会的治理、人性向善的塑造中,最终形成一个多层次的规制系统。认真分析了证券从业人员违背职责行为所承担的民事责任、行政责任和刑事责任现状,探讨了任何一种责任都同时存在内在及外在的矛盾或冲突情况。指出民事、行政和刑事责任的这种层次性和阶段性,必然导致规制证券从业人员违背职责行为唯有在民事责任不完全和行政处罚失效的情况下,才有进一步用刑事责任的承担来维护证券安全和保护证券权益的必要,进而主张构建独立有效的非刑罚惩治体系来规制证券从业人员违背职责的行为。全而梳理了我国对证券从业人员的规制历程,总结了法在规制证券从业人员违背职责行为上存在的问题。深入思考了刑法规制的功利性色彩,动辄将证券领域的不法行为犯罪化的现实；同时探索了刑法规制证券从业人员违背职责行为的补充性、从属性,展现了刑法规制与国家干预、调控经济的契合,正是这种以在经济的运行中设置规制或禁止领域为前提,并将规制或禁止的领域进行宣示后,才能对违背的行为进行惩戒的方式深化了对经济刑法的理解。这是这种源自秩序规范的义务设定或者预设的权益剥夺,导致证券从业人员违背职责行为的刑法规制有别于传统意义上人身、财产侵害行为的刑法规制,继而在理念、惩戒方式等上的大相径庭。
[Abstract]:In recent years, with the increasingly prominent role of finance in the national economy, the importance of securities is also self-evident. Security has also become a target for lawbreakers to hunt for huge amounts of wealth. Some of the securities practitioners have also embraced a fluky mentality and contributed to the flames by trying to exploit the gaps in the law, chasing after huge amounts of wealth, and lacking understanding of the seriousness of the law. Lack of understanding of the harmfulness of illegal acts, the use of authority to manipulate, fraud, embezzlement and other acts repeatedly prohibited. The reason is that although the securities market matures gradually need to pay a certain cost, but also the system and mechanism of the construction of omissions, There is also the whole aphasia of the holders of securities rights. However, the punishment of securities practitioners' breach of their duties is one of the reasons that can not be ignored. This article takes this as the object and selects the angle of view of economic criminal law. This paper makes a careful analysis of the present situation of the criminal law regulation of securities practitioners' breach of duty, analyzes the reasons of the regulation, evaluates the regulation and puts forward some suggestions to improve it. The regulation of securities practitioners who violate their duties has experienced the transition from identity regulation to behavior regulation, from punishment to governance, which reflects the development track of economic criminal law. It also shows the historical context of macroeconomic regulation and control of economic law. Although all kinds of branch laws are different from the basis of other branch laws, they are more and more integrated into participating in the governance of national society and shaping the human nature towards the good. Finally, a multi-level regulation system is formed. This paper analyzes seriously the present situation of civil liability, administrative liability and criminal liability of securities practitioners for breach of their duties, probes into the internal and external contradictions or conflicts existing in any kind of liability at the same time, and points out that civil affairs, This level and stage of administrative and criminal liability will inevitably lead to the regulation of securities practitioners violating their duties only if the civil liability is incomplete and the administrative punishment is invalid. It is necessary to maintain the security and protect the rights and interests of securities with the assumption of criminal responsibility, and then advocate the establishment of an independent and effective non-penalty punishment system to regulate the securities practitioners' violation of their duties. This part combs the regulation course of securities practitioners in our country, summarizes the problems existing in the regulation of securities practitioners' breach of duty by law, and thinks deeply about the utilitarian color of criminal law regulation. At the same time, it probes into the supplement of criminal law to regulate securities practitioners' breach of duty, and shows the agreement between criminal law regulation and state intervention, regulation and control of economy. It is this kind of regulation or prohibition in the operation of the economy as the premise, and the regulation or prohibition of the field after the declaration, The way in which the violation can be punished deepens the understanding of the economic criminal law. This is a denial of rights and interests that arises from the establishment of obligations or presupposition of the norms of order. As a result, the criminal law regulation of securities practitioners' breach of duty is different from the traditional criminal regulation of personal and property infringement, and then differs greatly in the concept, the way of punishment, and so on.
【学位授予单位】：中央民族大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.287;F832.51;D924

【参考文献】