我国内幕交易违法犯罪的特点、原因分析及防范措施
发布时间：2018-11-07 07:05
【摘要】： 我国证券市场上大约80%的违法案件与内幕交易有关,大约80%的违法交易金额与内幕交易案件有关，所以，只要证券市场存在，只要证券交易存在，内幕交易违法犯罪行为就是一个永恒的话题。不可否认，在证券市场产生以来，实务界孜孜以求，学术界锲而不舍，在内幕交易及其法律规制方面，我们已经取得了令人瞩目的成就；但是，也不可否认，由于我们国家证券市场发展时间短，内幕交易违法犯罪在我国还是一个新型的犯罪，有关内幕交易违法犯罪的理论研究，还比较稚嫩。虽然近年来对这一违法犯罪行为研究的论文日益增多，但大都是从刑法学的角度的出发，着重研究内幕交易违法犯罪的构成要件，而从犯罪学的角度去研究，没有任何这方面的专门论著，更鲜见有专门的研究内幕交易犯罪的论文出现。本文试着从犯罪学的角度，依据中国现有的经济格局，分析内幕交易在我国的产生发展的体制性及社会性原因，提出自己对防治内幕交易犯罪的一孔之见。 本文共分四部分，第一部分是对内幕交易本质之分析，首先是对内幕交易的历史发展描述以及对内幕交易核心概念的界定。然后是综合评价了有关禁止内幕交易的各种学说，分析了内幕交易内在运作的机理及对内幕交易性质的客观描述。第二部分是对我国内幕交易违法犯罪的现状和特点进行分析，通过对我国证监会处罚的9起内幕交易案件的分析，总结出我国内幕交易犯罪不同于国外内幕交易违法犯罪的自己独有的特征。第三部分是本文的重点，是对我国内幕交易违法犯罪的原因特点的分析，从国家经济体制及社会文化层面上的影响及内幕交易相关法律政策制度因素两方面详细分析了形成我国内幕交易违法犯罪的原因，，并指出体制性因素是构成我们国家内幕交易违法犯罪的特有原因。第四部分是内幕交易违法犯罪行为的防治策略。从内在规制和外在惩罚两个方面来阐述对内幕交易犯罪的预防体系，内在调整完善也即微观的自我调整，包括上市公司本体的规制及相关制度的完善；外在惩罚是我国相关的法律对内幕交易处罚更进一步的加强。
[Abstract]:About 80% of the illegal cases in China's securities market are related to insider trading, and about 80% of the illegal transactions amount is related to insider trading cases. Therefore, as long as the securities market exists, as long as securities trading exists, The crime of insider trading is an eternal topic. There is no denying that since the emergence of the securities market, the practical circles have been assiduously seeking, the academic circles have persevered, and we have made remarkable achievements in insider trading and its legal regulation. However, there is no denying that because of the short development time of our country's securities market, the illegal crime of insider trading is still a new type of crime in our country, and the theoretical research on the illegal crime of insider trading is still relatively immature. Although there are more and more papers on this illegal and criminal act in recent years, most of them are from the angle of criminal law, focusing on the constitutive elements of the illegal crime of insider trading, and studying from the angle of criminology. There is no special treatise on this, and there are few papers devoted to insider trading crime. This paper tries to analyze the institutional and social reasons for the emergence and development of insider trading in China from the perspective of criminology and according to the existing economic pattern of China, and puts forward its own views on preventing and controlling insider trading crimes. This paper is divided into four parts. The first part is the analysis of the nature of insider trading, first of all, the historical development of insider trading and the definition of the core concept of insider trading. Then it synthetically evaluates various theories about the prohibition of insider trading, analyzes the mechanism of internal operation of insider trading and the objective description of the nature of insider trading. The second part is to analyze the current situation and characteristics of the crime of insider trading in China, through the analysis of 9 cases of insider trading punished by China Securities Regulatory Commission. Summarize our country insider trading crime is different from the foreign insider trading illegal crime own unique characteristic. The third part is the focus of this paper, which is the analysis of the characteristics of the causes of the crime of insider trading in China. From the aspects of the national economic system and the social and cultural aspects, and the factors of the insider trading related law and policy system, this paper analyzes in detail the reasons for the formation of the illegal crime of insider trading in our country. It also points out that institutional factors are the unique reasons for the crime of insider trading in our country. The fourth part is the prevention and cure strategy of the crime of insider trading. From the two aspects of internal regulation and external punishment to explain the prevention system of insider trading crime, internal adjustment and perfection, that is, micro-self-adjustment, including the regulation of listed companies and the improvement of related systems; External punishment is the further strengthening of insider trading punishment in the relevant laws of our country.
【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
本文编号：2315594
[Abstract]:About 80% of the illegal cases in China's securities market are related to insider trading, and about 80% of the illegal transactions amount is related to insider trading cases. Therefore, as long as the securities market exists, as long as securities trading exists, The crime of insider trading is an eternal topic. There is no denying that since the emergence of the securities market, the practical circles have been assiduously seeking, the academic circles have persevered, and we have made remarkable achievements in insider trading and its legal regulation. However, there is no denying that because of the short development time of our country's securities market, the illegal crime of insider trading is still a new type of crime in our country, and the theoretical research on the illegal crime of insider trading is still relatively immature. Although there are more and more papers on this illegal and criminal act in recent years, most of them are from the angle of criminal law, focusing on the constitutive elements of the illegal crime of insider trading, and studying from the angle of criminology. There is no special treatise on this, and there are few papers devoted to insider trading crime. This paper tries to analyze the institutional and social reasons for the emergence and development of insider trading in China from the perspective of criminology and according to the existing economic pattern of China, and puts forward its own views on preventing and controlling insider trading crimes. This paper is divided into four parts. The first part is the analysis of the nature of insider trading, first of all, the historical development of insider trading and the definition of the core concept of insider trading. Then it synthetically evaluates various theories about the prohibition of insider trading, analyzes the mechanism of internal operation of insider trading and the objective description of the nature of insider trading. The second part is to analyze the current situation and characteristics of the crime of insider trading in China, through the analysis of 9 cases of insider trading punished by China Securities Regulatory Commission. Summarize our country insider trading crime is different from the foreign insider trading illegal crime own unique characteristic. The third part is the focus of this paper, which is the analysis of the characteristics of the causes of the crime of insider trading in China. From the aspects of the national economic system and the social and cultural aspects, and the factors of the insider trading related law and policy system, this paper analyzes in detail the reasons for the formation of the illegal crime of insider trading in our country. It also points out that institutional factors are the unique reasons for the crime of insider trading in our country. The fourth part is the prevention and cure strategy of the crime of insider trading. From the two aspects of internal regulation and external punishment to explain the prevention system of insider trading crime, internal adjustment and perfection, that is, micro-self-adjustment, including the regulation of listed companies and the improvement of related systems; External punishment is the further strengthening of insider trading punishment in the relevant laws of our country.
【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
【引证文献】
相关期刊论文 前1条
1 李燕;张卫国;;论我国证券内幕交易行为的有效防范[J];柴达木开发研究;2011年01期
本文编号：2315594
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