论证券内幕交易中内幕人的认定

发布时间：2018-04-16 15:09

本文选题：内幕人的认定 + 信息占有　；参考：《宁波大学》2013年硕士论文

【摘要】：我国《证券法》规定了禁止内幕交易的原则，禁止内幕交易的原理之一就是处于特殊职位的人不正当地利用了其职位优势。因此，在探究什么样的行为被禁止之前，应首先确定谁被禁止采取这些行为，，解决谁可以构成内幕人的问题对定义内幕交易至关重要。本文从我国《证券法》中规制的两类内幕人——“证券交易内幕知情人”和“非法获取内幕信息的人”入手进行剖析，分析我国内幕人认定中存在的争议及不足。第二部分对认定内幕人的法理依据予以分析，详细介绍受任人义务理论、消息传递理论以及私取理论，从法理角度切入，为分析我国认定内幕人的法律现状以及完善方法奠定理论基础。第三部分从国外以及我国台湾地区现行立法对内幕人概念的认定入手，分析和比较美国、欧盟指令、日本和我国台湾地区法律中有关内幕人的立法，并从中予以借鉴。针对上述三部分的分析和论证，第四部分对我国内幕人认定提出了四条完善建议，以期对完善我国证券内幕交易的法律规范有所裨益。
[Abstract]:China's Securities Law stipulates the principle of prohibiting insider trading. One of the principles of prohibiting insider trading is that people in special positions make improper use of their position advantages.Therefore, before exploring what kind of behavior is prohibited, we should first determine who is prohibited from doing these acts, and solve the problem of who can constitute insider trading is very important to define insider trading.This paper begins with the analysis of the two types of insider, "insider insider of securities trading" and "person who illegally acquires insider information", and analyzes the disputes and deficiencies in the identification of insider in our country.The second part analyzes the legal basis of the identification of insider, introduces in detail the theory of duty of the appointed person, the theory of message transmission and the theory of private access, from the point of view of legal theory,It lays a theoretical foundation for analyzing the current legal situation and perfecting methods of the insider in our country.The third part analyzes and compares the insider legislation of the United States, the European Union Directive, Japan and Taiwan region from the current legislation of foreign countries and Taiwan, and draw lessons from it.In view of the above three parts of the analysis and demonstration, the fourth part of the insider identification of our country put forward four perfect suggestions, in order to improve the legal norms of securities insider trading in China.
【学位授予单位】：宁波大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287

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