本文關鍵詞：中韓兩國禁止內幕交易法律制度比較研究　出處：《延邊大學》2009年碩士論文　論文類型：學位論文

  更多相關文章： 內幕交易 內幕信息 價格敏感性 重要性判斷

【摘要】： 隨著我國經濟市場的蓬勃發(fā)展,一方面,證券市場的股票交易量大幅提高,資金流轉快,另一方面,由于利益驅使,內幕交易在證券市場越來越蔓延,極大影響了投資者的信心和證券市場的穩(wěn)定發(fā)展。本文的主要以比較分析的方法,對中韓兩國禁止內幕交易法律制度進行了較為系統(tǒng)和深入的比較研究,在分析兩國制度上的共同點和差異點的基礎上,借鑒韓國禁止內幕交易制度的先進之處,提出了完善我國禁止內幕交易制度的若干建議。 全文共分為六章。 第一章是撰寫這篇論文的目的、范圍及意義。 第二章主要論述了內幕交易的概述,即內幕交易的概念,內幕交易的現狀,禁止內幕交易的必要性。首先,分析因我國現實存在的內幕交易的現狀,導致外國投資者對中國金融市場的不安和內幕交易行為對中國的證券市場引起實質性的金錢損害問題。其次,從歷史、文化、社會、經濟、法律、政策方面論述內幕交易的產生。最后,論述禁止內幕交易的必要性。 第三章主要介紹了韓國禁止內幕交易的法律制度�？疾炝酥袊箖饶唤灰追芍贫鹊幕A上,為了下文的比較分析,也分別從內幕交易的法律沿革,內幕人的范圍,內幕信息的范圍及構成要件,內幕交易行為方式,內幕交易的法律責任等內容進行了研究。 第四章主要介紹了中國禁止內幕交易法律制度,即禁止內幕交易的法律沿革,內幕人的范圍,內幕信息的范圍及構成要件,內幕交易的行為方式,內幕交易的法律責任。我國證券業(yè)起步較晚,但是內幕交易逐年在增多,原因是我國對證券交易的一些規(guī)定比較機械;就一些案件查處中的重要方面,我國欠缺相關規(guī)定,增加了對內幕交易的查處困難;相關的理論準備也比較欠缺;執(zhí)法行動仍較遲緩。 第五章對中韓兩國禁止內幕交易法律制度的內容進行了比較,比較中發(fā)現我國禁止內幕交易法律制度存在的問題。從內幕交易的體系,內幕人的范圍,內幕信息的范圍及構成要件,內幕交易的法律責任等四個方面提出了健全和完善我國禁止內幕交易法律制度的建議,為了證券市場的蓬勃發(fā)展,更好地適應國際國內形勢的發(fā)展,禁止內幕交易法律制度應適應國際上禁止內幕交易法律制度的共同趨勢。 第六章在結論部分,對論文進行了簡要概括,并再次強調禁止內幕交易的重要性和緊迫性,這不僅是我國證券市場的需要,而且是我國經濟發(fā)展的需要。
[Abstract]:Along with the vigorous development of our country's economic market, on the one hand, the stock trading volume of the securities market has been greatly increased, and the circulation of funds is fast. On the other hand, because of profit, insider trading is spreading more and more in the securities market. It has greatly affected the confidence of investors and the stable development of the securities market. This paper makes a systematic and in-depth comparative study on the legal system of prohibiting insider trading between China and South Korea by means of comparative analysis. On the basis of analyzing the common points and differences between the two countries' systems, this paper draws lessons from the advantages of Korea's system of prohibiting insider trading, and puts forward some suggestions on how to perfect the system of prohibiting insider trading in China. The full text is divided into six chapters. The first chapter is the purpose, scope and significance of this paper. The second chapter mainly discusses the outline of insider trading, that is, the concept of insider trading, the current situation of insider trading, the necessity of prohibiting insider trading. Causes the foreign investor to the Chinese financial market uneasiness and the insider trading behavior to the Chinese stock market causes the material money damage question. Secondly, from the history, the culture, the society, the economy, the law. Finally, it discusses the necessity of prohibiting insider trading. The third chapter mainly introduces the legal system of the prohibition of insider trading in South Korea. On the basis of investigating the legal system of prohibiting insider trading in China, for the sake of the comparative analysis below, it also introduces the legal history of insider trading. The scope of insider, the scope and elements of insider information, the behavior of insider trading and the legal liability of insider trading are studied. Chapter 4th mainly introduces the legal system of the prohibition of insider trading in China, that is, the legal evolution of the prohibition of insider trading, the scope of insider trading, the scope and elements of insider information, and the behavior of insider trading. The legal liability of insider trading. China's securities industry started late, but insider trading is increasing year by year, because some regulations of securities trading in our country are relatively mechanical; With regard to the important aspects of investigation and punishment of some cases, our country lacks relevant regulations, which makes it more difficult to investigate and deal with insider trading. The relative theoretical preparation is also relatively deficient; Enforcement is still slow. Chapter 5th compares the contents of the legal system of prohibiting insider trading between China and South Korea, and finds out the problems existing in the legal system of prohibiting insider trading in China, from the system of insider trading to the scope of insider trading. The scope and constitutive requirements of insider information, the legal liability of insider trading and other four aspects proposed to improve and improve the legal system against insider trading in China, for the vigorous development of the securities market. In order to adapt to the development of the international and domestic situation, the legal system of prohibiting insider trading should adapt to the common trend of the international legal system of prohibiting insider trading. In the conclusion part of Chapter 6th, the thesis is briefly summarized, and the importance and urgency of prohibiting insider trading are emphasized again, which is not only the need of China's securities market, but also the need of our country's economic development.
【學位授予單位】：延邊大學
【學位級別】：碩士
【學位授予年份】：2009
【分類號】：D922.287-03;D931.26

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本文編號：1432525