论证券活动中内幕交易罪
发布时间：2018-11-09 16:44
【摘要】：自上世纪八十年代我国证券市场建立以来，证券内幕交易现象就相伴而生，而且呈现出愈演愈烈之势。证券内幕交易不仅涉案金额大，影响面广，而且还严重地损害了投资者的合法权益，扰乱了证券市场正常的秩序。为了规范证券发行和证券交易行为，保护投资者的合法权益，维护社会经济秩序和公共利益，促进社会主义市场经济健康发展，我国1997年《刑法》将证券内幕交易纳入刑法视界，虽经1999年《刑法修正案（一）》和2009年《刑法修案(七)》对该罪的两次修改，但是刑法对该罪的规定还有很多不完善之处。因此，本文以国家关于证券内幕交易的法律法规和前人的研究成果为基础，对内幕信息、内幕交易行为、拥有内幕信息的主体、主观故意及明知的认定等作进一步分析。在证券内幕交易中，实质性受到损失的是广大的投资者。刑法的目的不是惩罚实施犯罪的人，而是保护广大的投资者的利益通过考察域外立法，归纳我国的立法概况，对比中外关于该罪的立法，，借鉴国外立法的有益经验，以期对该罪的立法模式、罪名和刑事责任的完善等有所裨益。
[Abstract]:Since the establishment of China's securities market in 1980's, the phenomenon of insider trading in securities has been accompanied and has become increasingly fierce. Insider trading not only involves a large amount of money and has a wide range of influence, but also seriously damages the legitimate rights and interests of investors and disturbs the normal order of the securities market. In order to standardize the issuance and trading of securities, protect the legitimate rights and interests of investors, safeguard social and economic order and public interests, and promote the healthy development of the socialist market economy, China's 1997 Criminal Law brought securities insider trading into the horizon of the criminal law. Although it was amended twice by the Criminal Law Amendment (1) in 1999 and the Criminal Law Amendment (7) in 2009, there are still many imperfections in the provisions of the Criminal Law on the crime. Therefore, based on the national laws and regulations on securities insider trading and the previous research results, this paper makes a further analysis of the insider information, insider trading behavior, the subject of insider information, the subjective intention and the cognizance of knowledge. In securities insider trading, the substantial loss is the vast number of investors. The purpose of the criminal law is not to punish those who commit the crime, but to protect the interests of the vast number of investors. By investigating the extraterritorial legislation, the purpose of the criminal law is to sum up the general legislative situation of our country, to compare the legislation on the crime between China and foreign countries, and to learn from the beneficial experience of foreign legislation. With a view to the legislative model of the crime, the crime and the perfection of criminal responsibility and so on.
【学位授予单位】：上海师范大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287;D924.33
本文编号：2320992
[Abstract]:Since the establishment of China's securities market in 1980's, the phenomenon of insider trading in securities has been accompanied and has become increasingly fierce. Insider trading not only involves a large amount of money and has a wide range of influence, but also seriously damages the legitimate rights and interests of investors and disturbs the normal order of the securities market. In order to standardize the issuance and trading of securities, protect the legitimate rights and interests of investors, safeguard social and economic order and public interests, and promote the healthy development of the socialist market economy, China's 1997 Criminal Law brought securities insider trading into the horizon of the criminal law. Although it was amended twice by the Criminal Law Amendment (1) in 1999 and the Criminal Law Amendment (7) in 2009, there are still many imperfections in the provisions of the Criminal Law on the crime. Therefore, based on the national laws and regulations on securities insider trading and the previous research results, this paper makes a further analysis of the insider information, insider trading behavior, the subject of insider information, the subjective intention and the cognizance of knowledge. In securities insider trading, the substantial loss is the vast number of investors. The purpose of the criminal law is not to punish those who commit the crime, but to protect the interests of the vast number of investors. By investigating the extraterritorial legislation, the purpose of the criminal law is to sum up the general legislative situation of our country, to compare the legislation on the crime between China and foreign countries, and to learn from the beneficial experience of foreign legislation. With a view to the legislative model of the crime, the crime and the perfection of criminal responsibility and so on.
【学位授予单位】：上海师范大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.287;D924.33
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