证券违法犯罪的现状、原因及遏制对策研究

发布时间：2018-10-12 18:02

【摘要】： 证券市场在现代金融市场体系中处于极其重要的地位，在我国正处在发展和完善阶段，它也是融通资金的重要渠道之一，是我国社会主义市场经济体系的重要组成部分，对我国社会主义市场经济的进一步发展和完善起着较为重要的作用。本文旨在研究遏制证券违法犯罪，保障证券市场健康有序发展，推动我国社会主义市场经济的快速健康发展。本文分为三部分：第一部分，分析和归纳证券市场违法犯罪的现状。当前证券市场“违法暗数”较大。这些违法暗数，对证券市场的健康发展极为不利，“违法暗数”形成的原因既有执法理念的问题，也存在当前查处证券违法犯罪的技术手段和查处违法犯罪的工作技巧落后的原因，同时还存在证券违法犯罪行为者逃避查处的原因。当前中国证券市场上还有一种违法违规的“奇观”——“再犯率”较高，并且“再犯率”较高主要集中在证券公司和多发生在二级市场。在上述情形之下，证券违规犯罪的形态在过去单一形态下又呈现多样化，这种多样化不仅表现在证券公司、上市公司、证券中介机构等主体多样化上，还表现在证券违法犯罪行为的多样化上。再加之，法律法规的滞后性，也使证券违法犯罪行为者有机可逞。第二部分，对证券违法犯罪的原因进行宏观分析。证券违法犯罪的原因，，既有内在的，也与我国证券市场发展历史时期较短的外部环境有着较为直接的关系。外部原因主要表现在：1．不能独立有效司法是证券违法犯罪的重要条件；2．股权结构不合理是证券市场混乱的重大原因；3．监管不力是证券犯罪得以存身的温床；4．民事责任的追究不到位助长了证券违法犯罪行为。第三部分，根据前述部分的研究，本部分主要是建构性的探讨，从六个方面提出预防和惩处证券方面的违法犯罪的政策及完善法制的建议，包括：大力加强投资者教育，提倡理性投资，强化风险提示；我国公司法律制度的完善；完善证券监管规则和强化监管措施；完善我国惩治性法律的立法；积极打造一支既懂证券金融又精通法律业务和办案技能的执法队伍；大胆进行改革，打破证券公司垄断经营。
[Abstract]:The securities market is in an extremely important position in the modern financial market system. In our country, it is at the stage of development and perfection, it is also one of the important channels of financing, and it is an important part of the socialist market economy system of our country. It plays an important role in the further development and improvement of our socialist market economy. The purpose of this paper is to curb the illegal crime of securities, to ensure the healthy and orderly development of the securities market, and to promote the rapid and healthy development of our socialist market economy. This article is divided into three parts: the first part, analyzes and summarizes the current situation of securities market crime. At present, the securities market, "illegal dark number" larger. These illegal dark numbers are extremely unfavorable to the healthy development of the securities market. The reason for the formation of "illegal dark numbers" lies in the concept of law enforcement. There are also the technical means to investigate and deal with securities crimes and the reasons why the working skills of investigating and dealing with illegal crimes lag behind, and at the same time, there are reasons for those who commit securities crimes to evade investigation and punishment. At present, there is a kind of "spectacle" of violation of laws and regulations in China's securities market, which means that the rate of recidivism is relatively high, and the higher rate of "recidivism" is mainly concentrated in the securities companies and occurs mostly in the secondary market. Under the above circumstances, the forms of securities offending crimes have been diversified in the past in a single form. This diversification is not only manifested in the diversification of securities companies, listed companies, securities intermediaries, and so on. It is also manifested in the diversification of securities illegal and criminal acts. In addition, the lag of laws and regulations, also make securities criminal behavior organic can succeed. The second part, carries on the macroscopic analysis to the securities illegal crime reason. The reason of securities crime is not only internal, but also directly related to the short external environment in the history of securities market development. The main external reasons are as follows: 1. The lack of independent and effective administration of justice is an important condition for securities crime; 2. Unreasonable ownership structure is the major cause of securities market chaos; 3. Weak supervision is the hotbed of securities crime. 4. The lack of accountability for civil liability has contributed to the illegal and criminal conduct of securities. The third part, according to the research of the aforementioned part, this part is mainly a constructive discussion, from six aspects to put forward the prevention and punishment of securities illegal and criminal policies and improve the legal system, including: to strengthen investor education, Promote rational investment, strengthen risk prompt; perfect the company legal system of our country; perfect the securities supervision rule and strengthen the supervision measure; perfect the legislation of the punishment law of our country; Actively build a law enforcement team that not only understands securities finance, but also is proficient in legal business and case handling skills; boldly carries out reforms to break the monopoly of securities companies.
【学位授予单位】：湖南师范大学
【学位级别】：硕士
【学位授予年份】：2006
【分类号】：D917

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