证券市场操纵行为政府监管的对策研究

发布时间：2018-06-23 09:18

本文选题：市场证券 + 操纵行为　；参考：《内蒙古大学》2015年硕士论文

【摘要】：证券市场操纵行为是通过影响资本的流动性以及方向性等手段使证券价格背离其价值来实现的。这使得投资者的利益直接受到了损害,同时还使证券市场秩序和资源优化的功能遭到破坏。在我国,由于证券业起步较晚,对证券市场操纵行为及其政府规制的研究非常少,这导致现实中证券市场操纵行为越来越严重。本文首先对国内外关于市场操纵行为的界定方式及界定内容进行了分析,在此基础上,着重明确行为主体、行为方式、行为目的来作为界定的主要内容,同时通过利用过错推定归责的原则保护投资者的利益,对违法侵权欺诈行为性质进行进一步明确。文章主要通过这几方面进行研究：首先,介绍证券市场操纵行为的相关概念、特征、性质以及必要性分析；其次,主要对我国政府监管证券市场操纵行为的现状以及我国证券市场制度不完善因素来阐述证券市场操纵行为产生的原因；第三,对政府监管证券市场操纵行为中存在的问题以及原因进行了讨论；第四,针对以上几部分内容进行归纳总结。然后对我国的证券交易市场的操纵手段提出适当的解决意见和相关办法。
[Abstract]:The manipulation of the securities market is realized by influencing the liquidity and directionality of the capital and making the securities price deviate from its value. This directly damages the interests of investors and undermines the order of securities market and the function of resource optimization. Due to the late start of securities industry in China, there are few researches on securities market manipulation and its government regulation, which leads to more and more serious securities market manipulation in reality. First of all, this paper analyzes the defining methods and contents of market manipulation at home and abroad, on the basis of which, it focuses on defining the main content of the definition: the main body, the behavior mode and the purpose of the behavior. At the same time, by using the principle of presumption of fault imputation to protect the interests of investors, the nature of illegal tort fraud is further clarified. Firstly, the paper introduces the related concepts, characteristics, nature and necessity of securities market manipulation. This paper mainly discusses the current situation of government supervision of securities market manipulation and the imperfect factors of securities market system to explain the reasons of securities market manipulation; third, This paper discusses the problems and causes of government regulation of securities market manipulation. Fourth, summarizes the above parts. Then put forward appropriate solutions and relevant methods to the manipulation of securities trading market in our country.
【学位授予单位】：内蒙古大学
【学位级别】：硕士
【学位授予年份】：2015
【分类号】：D922.287;F832.51

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