我国的证券交易犯罪及防治研究

发布时间：2018-09-17 07:59

【摘要】： 证券交易犯罪的发生和证券市场的出现密切相关，我国的证券市场刚刚起步，因而证券交易犯罪也属于一种较新的犯罪类型。近几年中国证券市场出现了许多异常现象，投机犯罪猖獗，严重阻碍了证券市场的健康发展。有感于此，本文初步探讨了证券交易犯罪的历史沿革、构成特征和我国证券交易犯罪产生的原因，并提出一些防治对策，以期能有效地抗制证券交易犯罪，净化证券市场。本文包括前言、正文、结论三个部分。前言部分简要说明了本文探讨证券交易犯罪的初衷。正文部分共分五章。第一章，作者介绍了证券、证券交易市场的概念和特征，简述一些证券基本知识作为基础。证券具有流通性、虚拟性、风险性等特征，也因此而成为贪利性的证券交易犯罪者所凭借的工具和所追求的对象。第二章，笔者探讨了证券交易犯罪的概念和特征，以及证券交易犯罪的历史沿革，并分析了我国证券交易犯罪的现状。早期由于历史的局限性和不成熟性所决定，证券犯罪只是呈现出低级的、简单的犯罪形式，随着证券刑事法律的逐渐完善，证券交易犯罪更多的采取了具有隐蔽性、高智能性的诸如内幕交易、操纵市场等高级形式，而且整个犯罪态势有增无减。我国的证券交易犯罪呈现出智能化、犯罪主体以机构大户为主、犯罪被害人具有不特定性、暗数较高等特点。第三章，笔者探讨了证券交易犯罪的构成特征，重点探讨了操纵证券交易价格罪、内幕交易、泄露内幕信息罪、诱骗投资者买卖证券罪、编造并传播证券交易虚假信息罪等证券交易犯罪的客观方面，，使其与其他罪名 WP=4 相区别。并对相关个罪的认定进行了分析。第四章，笔者探讨了证券交易犯罪频发的原因，并对这些原因进行剖析。侧重于客观原因，即证券市场自身和政策体制的原因。阐明政府在证券市场干预太多，且证券市场的运行机制也存在诸多问题，而司法不公也在一定程度上纵容了证券交易犯罪。第五章，笔者探讨了抗制证券交易犯罪的对策，提出应改革监管体制，确保司法公正，完善证券交易市场的相关制度，借以对抗日益严重的证券交易犯罪。结论部分进一步说明论文的目的和意义。
[Abstract]:The occurrence of the crime of securities trading is closely related to the appearance of the securities market. The securities market in our country has just started, so the crime of securities trading also belongs to a relatively new type of crime. In recent years, there have been many abnormal phenomena in China's securities market, and rampant speculative crimes have seriously hindered the healthy development of the securities market. With this in mind, this paper preliminarily discusses the historical evolution, the constitution characteristics and the causes of the crime of securities trading in China, and puts forward some preventive measures in order to effectively resist the crime of securities trading and purify the securities market. This paper includes three parts: preface, text and conclusion. The preface briefly explains the original intention of this paper to discuss the crime of securities trading. The text is divided into five chapters. In the first chapter, the author introduces the concept and characteristics of securities and securities trading market, and briefly introduces some basic knowledge of securities as the basis. Securities have the characteristics of circulation, fictitious, risk, and so on. In the second chapter, the author discusses the concept and characteristics of the crime of securities trading, as well as the historical evolution of the crime of securities trading, and analyzes the present situation of the crime of securities trading in China. Because of the limitation and immaturity of the history in the early period, the securities crime only presents the low-level, simple form of crime. With the gradual improvement of the securities criminal law, the securities trading crime has more concealment. Sophisticated forms of intelligence, such as insider trading, market manipulation, and the whole crime scene continue unabated. The crime of securities trading in our country presents the intelligence, the main body of the crime is the large number of institutions, the victim of crime is not specific, the dark number is relatively high and so on. In the third chapter, the author discusses the constitutive characteristics of the crime of securities trading, focusing on the crime of manipulating the price of securities trading, insider trading, disclosure of insider information, and the crime of enticing investors to buy and sell securities. Fabricating and disseminating the objective aspects of securities trading crimes such as the crime of false information in securities trading, To distinguish it from other WP=4 charges. And the identification of related crimes were analyzed. In the fourth chapter, the author discusses the causes of frequent crime in securities trading, and analyzes these reasons. Focus on the objective reasons, that is, the securities market itself and the policy system. It is pointed out that the government has too much intervention in the securities market, and there are many problems in the operation mechanism of the securities market, and the unfair administration of justice also connives at the crime of securities trading to a certain extent. In the fifth chapter, the author probes into the countermeasures of resisting the crime of securities trading, and puts forward that the supervision system should be reformed, the judicial justice should be ensured, and the relevant system of the securities trading market should be perfected in order to counter the increasingly serious crime of securities trading. The conclusion further explains the purpose and significance of the paper.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2003
【分类号】：D917

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