证券犯罪研究

发布时间：2018-06-15 08:07

本文选题：证券 + 犯罪　；参考：《中国政法大学》2004年硕士论文

【摘要】：证券是“以证明或设定权利为目的所作成的凭证”，即记载并代表一定权利的文书；证券市场是证券发行和交易的场所，它在金融体系中居于重要的地位。证券犯罪是严重危害证券管理秩序、证券刑事法律规范规定应当负刑事责任的行为。证券和证券市场在一个国家的经济发展中起着重要的作用，他们直接关系着一个国家的经济是否持续、健康、稳定的发展。证券犯罪行为是对一个国家证券市场的严重危害行为，它的存在必然会对一个国家的经济造成冲击，甚至是毁灭性的打击。因此，要保障一个国家经济的顺利发展，就必须打击和预防证券犯罪。我国现实的证券形势相当严峻，一方面，已有的证券犯罪愈演愈烈；另一方面，一些严重的证券违法行为不断涌现，如短线交易行为，改变募股资金用途行为等，他们互相交织，互相影响，严重破坏了证券管理秩序，给国家和广大投资者造成了不可估量的损失，并在一定程度上影响到国家经济的正常发展。本文探讨了证券及证券市场的定义和特征、证券犯罪的概念及特点，通过对证券犯罪的类型的分析，深入挖掘了证券犯罪的深层次原因，根据对证券犯罪的主观原因和客观原因的分析，探寻如何防治证券犯罪。本文对我国当前常见的典型证券犯罪作了简要分析，并且在某些具体罪名上提出了修改建议。如建议将“伪造、变造国家有价证券罪”和“伪造、变造股票、公司企业债券罪”二罪合一为“伪造、变造有价证券罪”。同时，本文着重分析了证券犯罪的客观原因和主观原因，从证券市场自身的运行机制及其管理问题入手，分析了影响证券犯罪形成的客观消极现象；从证券犯罪人智能结构、需要结构和道德法律意识入手，分析了影响证券犯罪形成的主观心理态度。此外，本文根据对证券犯罪的原因分析，从客观和主观两方面提出了防治措施。在客观上要完善证券市场运行体系，加强规范证券行业主体的行为，，完善证券刑法体系；主观上要消除和弱化证券犯罪心理，加强证券职业道德教育和证券法制教育，从而形成全方位的、多层次的、多方面的防治体系。由于本人学术水平有限，文章中不免会出现一些幼稚甚至错误的内容，敬请各位老师批评指正。
[Abstract]:Securities is a "certificate made for the purpose of proving or establishing rights", that is, a document that records and represents certain rights. The securities market is the place where securities are issued and traded, and it plays an important role in the financial system. Securities crime is an act that seriously endangers the order of securities management and should bear criminal responsibility according to the regulation of securities criminal law. Securities and securities market plays an important role in the economic development of a country. They are directly related to the sustained, healthy and stable development of a country's economy. Securities crime is a serious harm to a country's securities market, and its existence will inevitably impact the economy of a country, even a devastating blow. Therefore, to ensure the smooth development of a country's economy, it is necessary to crack down and prevent securities crime. The real security situation in our country is quite serious. On the one hand, the existing securities crimes are becoming more and more serious; on the other hand, some serious securities illegal acts continue to emerge, such as short-term trading behavior, changing the use of equity issuance funds, and so on. They interweave and influence each other, seriously destroy the order of securities management, cause inestimable losses to the state and investors, and affect the normal development of national economy to a certain extent. This paper discusses the definition and characteristics of securities and securities market, the concept and characteristics of securities crime, and through the analysis of the types of securities crime, excavates the deep-seated reasons of securities crime. Based on the analysis of subjective and objective reasons of securities crime, this paper explores how to prevent and cure securities crime. This paper makes a brief analysis of the typical securities crimes in our country, and puts forward some suggestions to amend them. For example, the crime of forgery and alteration of state marketable securities and the crime of forgery, alteration of stocks and corporate bonds should be combined into the crimes of forgery and alteration of securities. At the same time, this paper analyzes the objective and subjective causes of securities crime, starting with the operation mechanism of the securities market and its management problems, analyzes the objective negative phenomena that affect the formation of securities crimes, and analyzes the intelligent structure of securities offenders. Starting with the structure and moral consciousness, this paper analyzes the subjective psychological attitude that affects the formation of securities crime. In addition, based on the analysis of the causes of securities crime, this paper puts forward the preventive measures from the objective and subjective aspects. Objectively, it is necessary to perfect the operating system of the securities market, strengthen the regulation of the behavior of the main body of the securities industry, and perfect the criminal law system of the securities; subjectively, we should eliminate and weaken the psychology of securities crime, strengthen the education of securities professional ethics and securities legal system, Thus forming an all-round, multi-level, multi-faceted prevention and control system. Due to my limited academic level, the article will inevitably appear some naive or even wrong content, please teachers criticize and correct.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2004
【分类号】：D917

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