我国证券市场内幕交易防控研究

发布时间：2018-01-11 14:34

本文关键词：我国证券市场内幕交易防控研究　出处：《渤海大学》2017年硕士论文　论文类型：学位论文

【摘要】：证券市场是一种资金使用权交易的高等级场所,他满足于市场经济所具有的开放性、平等性、竞争性和法制性的特征。我国证券市场伴随着我国市场经济的发展而诞生,起步于改革开放初期,约在90年代因改革开放的进一步深化而进入快速发展的阶段。相较于西方资本主义国家在证券市场制度建设方面丰富的经验,我国虽然自证券市场建立以来,相关部门就起草出台了一系列关于规范证券市场的法律法规,并为此建立了严格的监管体系和惩罚制度,但是因为资本市场其本身快速更新的特点,使得以往各种关于证券市场的规范制度依然不能满足于现有经济发展在理论和实践方面的需求。内幕交易行为是资本市场最为普遍的顽疾。近年来,我国与世界经济的接轨,对资本市场的控制逐渐放宽,走向世界,使得对内幕交易危害的认知也在不断加深。打击违反市场机制的内幕交易行为,对证券市场中存在的内幕交易隐患,以规范法律制度为前提、以防控和化解风险为手段、以建立健康平稳运行的市场为目的,防微杜渐,保护广大中小投资者的正当权益,保证我国市场经济的长足发展。论文以案例分析的方式探讨我国证券市场现存内幕交易问题,通过对益盛药业这一案例进行研究分析,从法学的相关角度入手,对于因公司管理模式、信息披露以及法律制度等缘由引发的内幕交易行为研究探讨,进而得出应对结论。以便为我国证券市场在内幕交易行为的监督、管理和防控方面提供切实有效的解决方案。
[Abstract]:The securities market is a financial transaction of the right to use the high grade place, he has to meet the requirements of openness, equality of the market economy, competition characteristics and legal system of the securities market in China. With the development of market economy in China and was started in the early stage of reform and opening up, about in 90s for further deepening the reform open and enter the stage of rapid development. Compared to the western capitalist countries in the securities market system construction experience in our country, although the establishment of securities market since the drafting of relevant departments issued a series of norms on securities market laws and regulations, and established a strict supervision system and punishment system, but because the characteristics of the capital market itself fast update, which makes about securities market regulation system is still unable to meet the current economic development in the aspects of theory and practice to For insider trading is the most common problem for the capital market. In recent years, China and the world economy, control of the capital market gradually relaxed, to the world, the harm of insider trading cognition is also deepening. Against the market mechanism for insider trading in the securities market, the existence of insider trading risks, to regulate the legal system as the premise, to prevent and defuse the risks as a means to establish a healthy and stable operation of the market for the purpose of protecting the legitimate rights and interests of the majority, check erroneous ideas at the outset, the medium and small investors, to ensure the rapid development of market economy in our country. The thesis is a case study on existing problems of securities market insider trading in China. Through the analysis of the case of Yi Sheng pharmaceutical, start from the angle of law, for company management, information disclosure and legal system and other reasons caused by the insider Then we will discuss the conclusion of the transaction so as to provide effective solutions for the supervision, management and prevention and control of insider trading in China's securities market.

【学位授予单位】：渤海大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：F832.51

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