证券内幕交易的法律规制研究

发布时间：2017-12-31 07:33

本文关键词：证券内幕交易的法律规制研究　出处：《大连理工大学》2014年硕士论文　论文类型：学位论文

【摘要】：在司法实践中,证券内幕交易的案件屡见报端。这存在一系列的原因,包括：缺乏专门性的法律规制,行政执法手段有限,内幕交易认定标准不明确,法律不够完善,具体表现在缺乏对内幕交易民事责任的系统性规定,行政处罚的数额较低,刑事处罚的量刑较轻,对于内幕交易的处罚的规定不够合理,行政执法体制的缺陷也影响了执法效率等。为了更好地维护证券市场的交易秩序,虽然我国《证券法》对禁止证券内幕交易以及其相关行为作出了扩大化的规定,但是制度性规范作用尚未切中要害,法律法规也并不够完善,与此同时也缺乏持续有效监督管理,这些都助长了整个证券市场追逐内幕信息的投机情绪和法不责众的侥幸心理,使得证券市场内幕交易的现状十分猖獗。针对我国内幕交易存在的现状,本文研究的重点在于针对我国内幕交易法律规制中存在的问题进行分析,通过文献研究法、比较借鉴法以及案例研究法,结合国外先进完备的法律规定来对我国内幕交易法律规制提出具体建议。本文通过五部分对证券内幕交易的法律规制进行论述。第一部分,作为绪论对国内外文献进行综述,并且介绍了文章采用的主要研究方法；第二部分,有关证券内幕交易的概述,包括内幕交易的相关概念以及内幕交易行为的表现形式；第三部分,从大陆法系和英美法系两个法系的代表国家来介绍国外证券市场内幕交易法律规制的现状,并说明我国证券内幕交易法律规制可以从中进行的借鉴；第四部分,对我国证券内幕交易的现状以及存在的问题进行阐述；第五部分,从加大违法者的责任承担力度和完善我国外部环境出发,针对我国证券内幕交易法律规制提出具体可行的建议。
[Abstract]:In judicial practice, the cases of securities insider trading are frequently reported. There are a series of reasons, including: lack of specialized legal regulation, limited administrative law enforcement means, the identification of insider trading standards are not clear. The law is not perfect, the concrete performance is the lack of systematic regulation on civil liability of insider trading, the low amount of administrative punishment, the lighter penalty of criminal punishment, and the unreasonable provisions of punishment for insider trading. The defects of the administrative law enforcement system also affect the efficiency of law enforcement. In order to better maintain the order of trading in the securities market. Although the Securities Law of our country has made the provisions on the prohibition of insider trading of securities and its related behavior, but the role of institutional norms has not yet reached the point, and the laws and regulations are not perfect enough. At the same time, there is also a lack of continuous and effective supervision and management, which encourages the entire securities market to pursue the speculative sentiment of insider information and the lucky psychology of the public, which makes the current situation of insider trading in the securities market very rampant. In view of the existing situation of insider trading in China, the focus of this study is to analyze the existing problems in the legal regulation of insider trading in China, through the literature research method, comparative reference method and case study method. Combined with foreign advanced and complete laws and regulations to put forward specific suggestions on the legal regulation of insider trading in China. This paper discusses the legal regulation of securities insider trading through five parts. The first part, as an introduction to the literature at home and abroad, and introduced the main research methods used in the article; The second part, the overview of the securities insider trading, including the related concepts of insider trading and the expression of insider trading behavior; The third part, from the continental law system and the Anglo-American legal system of the representative countries to introduce the current situation of the foreign securities market insider trading legal regulation, and explain the legal regulation of securities insider trading in China can be used for reference; In the 4th part, the present situation and existing problems of insider trading of securities in China are expounded. In the 5th part, from the view of increasing the liability of violators and perfecting the external environment of our country, the author puts forward some concrete and feasible suggestions for the legal regulation of securities insider trading in China.
【学位授予单位】：大连理工大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287

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