香港地区证券市场主要洗钱渠道及对内地反洗钱的建议

发布时间：2018-11-02 18:54

【摘要】：近些年来,随着世界各国经济的贸易往来在不断地加强和经济全球化的不断地发展,洗钱活动也慢慢地出现了很多新的发展趋势和巨大变化：洗钱者不断地在搞创新,洗钱的方式变得越来越复杂和越来越隐蔽；洗钱活动正一步一步地向高科技化以及高智能化方向靠拢；另一方面,洗钱活动也渐渐地从发达国家向发展中国家开始发生转移,跨国的洗钱行为已经逐渐地成为了现代洗钱活动中的一个重要的特征,它不但严重地影响了全球的经济金融秩序稳定,而且还对各个国家的经济安全造成了巨大的危害。香港,这个作为一个国际金融中心的地区,很早便拥有了200多家银行、保险和证券机构入驻其中,香港特别行政区金融业的发达以及各种金融咨询公司咨询服务的广泛提供以及在香港极其容易获取空壳公司等都使得香港成为了洗钱者漂白其各种犯罪黑收益的最佳理想场所之一,香港特别行政区甚至一度被评为了“洗钱者的天堂”。截止2011年8月31日香港联合交易所挂牌交易的上市公司数量总数为1463家(包含主板和创业板),市价总值194318亿港元。在香港证券市场活跃繁荣的背后,不乏一些洗钱分子利用证券市场的特殊性进行洗钱犯罪活动,本文就通过对香港地区证券市场洗钱分子的各种洗钱手段进行了研究和分析,归纳为洗钱分子在证券市场上常用的洗钱手法及利用控股上市公司进行洗钱手法这两大类,并介绍了一些反制措施以及对内地证券市场反洗钱监管提出了一些建议,对我国内地金融监管机构完善当前的反洗钱监管政策提供有益的参考,为金融机构开展反洗钱培训、提高反洗钱工作的有效性提供支持,有利于我国金融行业秩序健康稳定的发展。
[Abstract]:In recent years, with the continuous strengthening of the world economic trade and the continuous development of economic globalization, money laundering activities have slowly emerged a lot of new development trends and great changes: money launderers are constantly engaged in innovation. Money laundering is becoming more and more complex and covert; Money laundering is moving towards the direction of high technology and high intelligence step by step; On the other hand, money laundering has gradually begun to shift from developed to developing countries. Transnational money laundering has gradually become an important feature of modern money laundering. It not only seriously affects the stability of global economic and financial order, but also causes great harm to the economic security of various countries. Hong Kong, as an international financial centre, has long had more than 200 banks, insurance and securities institutions. The development of the financial industry of the Hong Kong Special Administrative region, the wide availability of advisory services from various financial consulting companies and the extremely easy access to shell companies in Hong Kong have made Hong Kong a money launderer to bleach the proceeds of various crimes. One of the best places to live, At one point, the Hong Kong Special Administrative region was even named the Money-Laundering Paradise. As of August 31, 2011, the total number of listed companies listed on the Stock Exchange of Hong Kong was 1463 (including the main Board and the gem), with a market value of HK $19.4318 trillion. Behind the active and prosperous securities market in Hong Kong, there are some money launderers who make use of the particularity of the securities market to carry out money laundering criminal activities. This paper studies and analyzes various means of money laundering by money launderers in the securities market of Hong Kong. This paper summarizes the money laundering methods commonly used by money launderers in the securities market and the methods of money laundering by holding listed companies, and introduces some counter-measures and puts forward some suggestions on anti-money laundering supervision in the mainland securities market. To provide a useful reference for the mainland financial regulatory bodies to improve the current anti-money laundering regulatory policy, to provide support for financial institutions to carry out anti-money-laundering training and improve the effectiveness of anti-money laundering work. It is conducive to the healthy and stable development of the financial industry in China.
【学位授予单位】：西南交通大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：F832.51

【参考文献】