论我国证券内幕交易的法律规制
发布时间：2018-09-07 09:46
【摘要】：内幕交易是指证券交易内幕信息的知情人和非法获取内幕信息的人利用内幕信息从事证券交易活动。内幕交易有违资本市场赖以生存和发展的“公开”、“公平”、“公正”的原则，是对诚实信用原则的背离，损害投资各方的根本利益。扰乱证券市场的正常运行秩序，损害证券市场的健康发展。本文在借鉴国内外学者关于内幕交易研究的基础上，以我国证券市场内幕交易为研究对象，在分析了我国目前证券市场中存在的内幕交易现象和法律规制缺陷的基础上提出我国证券市场立法中需要完善之处，提出应该明确内幕信息核心特征及判断标准，扩展证券内幕交易罪的主体，合理分配内幕交易的举证责任，统一单位犯罪与自然人犯罪的刑罚适用标准，从罪刑相适应原则出发，重新界定违法所得数额认定标准，明确民事损害赔偿的标准，并明确内幕交易民事赔偿属于刑事附带民事诉讼范畴等，为证券市场内幕交易的规则制定提供理论依据和现实建议，，有利于更好的规制内幕交易行为，保证证券交易的正常秩序，从而促进金融市场健康稳定发展。
[Abstract]:Insider trading refers to the insider of insider information of securities trading and the person who illegally acquires inside information to engage in securities trading activities. Insider trading violates the principles of "openness", "fairness" and "justice" in the survival and development of the capital market. It is a departure from the principle of good faith and damages the fundamental interests of all parties involved in the investment. Disturb the normal operation of the securities market order, harm the healthy development of the securities market. Based on the domestic and foreign scholars' research on insider trading, this paper takes insider trading in China's securities market as the research object. Based on the analysis of the phenomenon of insider trading and the defects of legal regulation in China's securities market, this paper points out that the legislation of securities market in our country needs to be perfected, and that the core characteristics and judgment criteria of insider information should be clearly defined. Expanding the subject of the crime of securities insider trading, reasonably distributing the burden of proof of insider trading, unifying the applicable standard of punishment for unit crime and natural person crime, redefining the standard of determining the amount of illegal income from the principle of adaptation of crime and punishment. To clarify the standard of civil damages, and to clarify that civil compensation for insider trading belongs to the category of criminal incidental civil action, etc., to provide theoretical basis and practical suggestions for the formulation of the rules of insider trading in the securities market. It is beneficial to better regulate insider trading, ensure the normal order of securities trading, and promote the healthy and stable development of financial market.
【学位授予单位】：华南理工大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287
本文编号：2227899
[Abstract]:Insider trading refers to the insider of insider information of securities trading and the person who illegally acquires inside information to engage in securities trading activities. Insider trading violates the principles of "openness", "fairness" and "justice" in the survival and development of the capital market. It is a departure from the principle of good faith and damages the fundamental interests of all parties involved in the investment. Disturb the normal operation of the securities market order, harm the healthy development of the securities market. Based on the domestic and foreign scholars' research on insider trading, this paper takes insider trading in China's securities market as the research object. Based on the analysis of the phenomenon of insider trading and the defects of legal regulation in China's securities market, this paper points out that the legislation of securities market in our country needs to be perfected, and that the core characteristics and judgment criteria of insider information should be clearly defined. Expanding the subject of the crime of securities insider trading, reasonably distributing the burden of proof of insider trading, unifying the applicable standard of punishment for unit crime and natural person crime, redefining the standard of determining the amount of illegal income from the principle of adaptation of crime and punishment. To clarify the standard of civil damages, and to clarify that civil compensation for insider trading belongs to the category of criminal incidental civil action, etc., to provide theoretical basis and practical suggestions for the formulation of the rules of insider trading in the securities market. It is beneficial to better regulate insider trading, ensure the normal order of securities trading, and promote the healthy and stable development of financial market.
【学位授予单位】：华南理工大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287
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