我国证券内幕交易规制制度研究

发布时间：2018-06-03 21:12

本文选题：证券市场 + 内幕交易　；参考：《沈阳工业大学》2012年硕士论文

【摘要】：内幕交易这个词在现今的证券市场中并不陌生,内幕交易的泛滥可以说有证券市场的地方就会有内幕交易的出现,它的危害已经不言而喻,因此各国都积极的探索规制内幕交易的制度,我国证券市场由于发展较晚,规制内幕交易的制度还不够完善,因此本文通过对我国内幕交易现状及对国外内幕交易规制制度的研究与借鉴,对我国内幕交易规制制度进行完善。本文从内幕交易的基本理论入手,对内幕交易的含义、特征、构成要件、危害性及其法律后果进行了详细的概述,通过对我国现有内幕交易基本理论的介绍,从而来探析我国内幕交易规制制度存在的问题,接下来文章对我国证券内幕交易规制制度的现状和存在的问题进行研究,采用了举例论证的方法,列举了近些年我国证券内幕交易的相关案例,通过这些案例,本文对我国内幕交易的本土化特征和出现的新的特点进行深入探析,发现我国内幕交易规制制度中现存的问题,着手对我国内幕交易规制制度完善进行理论探析。文章通过对国外内幕交易规制制度的借鉴,为我国证券内幕交易规制制度完善的研究奠定坚实的理论基础,并在此基础上,从我国立法方面提出具体的完善建议,主要从内幕交易中内幕人员的确定、内幕交易的行政责任、民事责任、刑事责任以及监管制度方面来完善我国证券内幕交易的规制制度。文章主要侧重于我国证券内幕交易中内幕人员范围的扩大以及相关法律责任和监管制度的完善,通过对我国现有的法律制度的不足加以分析和完善以及对国外制度的研究借鉴,从而探索出一条适合我国证券市场规制内幕交易的道路。
[Abstract]:The term insider trading is no stranger in today's securities market. The proliferation of insider trading can be said to have the appearance of insider trading in places where there is a securities market. Its harm is self-evident. Therefore, all countries actively explore the regulation of insider trading system. Because of the late development of China's securities market, the system of regulating insider trading is not perfect enough. Therefore, through the research and reference to the present situation of insider trading in our country and the regulation system of insider trading in foreign countries, this paper consummates the regulation system of insider trading in our country. Starting with the basic theory of insider trading, this paper gives a detailed overview of the meaning, characteristics, constitutive requirements, harmfulness and legal consequences of insider trading, and introduces the existing basic theory of insider trading in China. In order to probe into the problems existing in the regulation system of insider trading in our country, the article studies the present situation and existing problems of the regulation system of insider trading of securities in China, and adopts the method of illustrative demonstration. This paper enumerates the relevant cases of securities insider trading in China in recent years. Through these cases, this paper makes a deep analysis of the localization and new characteristics of insider trading in China, and finds out the existing problems in the regulation system of insider trading in China. This paper begins to analyze the perfection of insider trading regulation system in China. Based on the reference of the foreign insider trading regulation system, this paper lays a solid theoretical foundation for the study of the perfection of China's securities insider trading regulation system, and on this basis, puts forward some specific suggestions from the legislative aspect of our country. From the insider trading in the determination of the insider, insider trading administrative liability, civil liability, criminal liability and regulatory system to improve the regulation of securities insider trading system. The article mainly focuses on the expansion of the scope of insider personnel and the improvement of related legal liability and supervision system in China's securities insider trading, through the analysis and improvement of the deficiencies of the existing legal system in our country and the study of foreign systems. In order to explore a suitable way for China's securities market to regulate insider trading.
【学位授予单位】：沈阳工业大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D922.287;F832.51

【参考文献】