本文關(guān)鍵詞：中韓兩國(guó)禁止內(nèi)幕交易法律制度比較研究　出處：《延邊大學(xué)》2009年碩士論文　論文類(lèi)型：學(xué)位論文

  更多相關(guān)文章： 內(nèi)幕交易 內(nèi)幕信息 價(jià)格敏感性 重要性判斷

【摘要】： 隨著我國(guó)經(jīng)濟(jì)市場(chǎng)的蓬勃發(fā)展,一方面,證券市場(chǎng)的股票交易量大幅提高,資金流轉(zhuǎn)快,另一方面,由于利益驅(qū)使,內(nèi)幕交易在證券市場(chǎng)越來(lái)越蔓延,極大影響了投資者的信心和證券市場(chǎng)的穩(wěn)定發(fā)展。本文的主要以比較分析的方法,對(duì)中韓兩國(guó)禁止內(nèi)幕交易法律制度進(jìn)行了較為系統(tǒng)和深入的比較研究,在分析兩國(guó)制度上的共同點(diǎn)和差異點(diǎn)的基礎(chǔ)上,借鑒韓國(guó)禁止內(nèi)幕交易制度的先進(jìn)之處,提出了完善我國(guó)禁止內(nèi)幕交易制度的若干建議。 全文共分為六章。 第一章是撰寫(xiě)這篇論文的目的、范圍及意義。 第二章主要論述了內(nèi)幕交易的概述,即內(nèi)幕交易的概念,內(nèi)幕交易的現(xiàn)狀,禁止內(nèi)幕交易的必要性。首先,分析因我國(guó)現(xiàn)實(shí)存在的內(nèi)幕交易的現(xiàn)狀,導(dǎo)致外國(guó)投資者對(duì)中國(guó)金融市場(chǎng)的不安和內(nèi)幕交易行為對(duì)中國(guó)的證券市場(chǎng)引起實(shí)質(zhì)性的金錢(qián)損害問(wèn)題。其次,從歷史、文化、社會(huì)、經(jīng)濟(jì)、法律、政策方面論述內(nèi)幕交易的產(chǎn)生。最后,論述禁止內(nèi)幕交易的必要性。 第三章主要介紹了韓國(guó)禁止內(nèi)幕交易的法律制度�？疾炝酥袊�(guó)禁止內(nèi)幕交易法律制度的基礎(chǔ)上,為了下文的比較分析,也分別從內(nèi)幕交易的法律沿革,內(nèi)幕人的范圍,內(nèi)幕信息的范圍及構(gòu)成要件,內(nèi)幕交易行為方式,內(nèi)幕交易的法律責(zé)任等內(nèi)容進(jìn)行了研究。 第四章主要介紹了中國(guó)禁止內(nèi)幕交易法律制度,即禁止內(nèi)幕交易的法律沿革,內(nèi)幕人的范圍,內(nèi)幕信息的范圍及構(gòu)成要件,內(nèi)幕交易的行為方式,內(nèi)幕交易的法律責(zé)任。我國(guó)證券業(yè)起步較晚,但是內(nèi)幕交易逐年在增多,原因是我國(guó)對(duì)證券交易的一些規(guī)定比較機(jī)械;就一些案件查處中的重要方面,我國(guó)欠缺相關(guān)規(guī)定,增加了對(duì)內(nèi)幕交易的查處困難;相關(guān)的理論準(zhǔn)備也比較欠缺;執(zhí)法行動(dòng)仍較遲緩。 第五章對(duì)中韓兩國(guó)禁止內(nèi)幕交易法律制度的內(nèi)容進(jìn)行了比較,比較中發(fā)現(xiàn)我國(guó)禁止內(nèi)幕交易法律制度存在的問(wèn)題。從內(nèi)幕交易的體系,內(nèi)幕人的范圍,內(nèi)幕信息的范圍及構(gòu)成要件,內(nèi)幕交易的法律責(zé)任等四個(gè)方面提出了健全和完善我國(guó)禁止內(nèi)幕交易法律制度的建議,為了證券市場(chǎng)的蓬勃發(fā)展,更好地適應(yīng)國(guó)際國(guó)內(nèi)形勢(shì)的發(fā)展,禁止內(nèi)幕交易法律制度應(yīng)適應(yīng)國(guó)際上禁止內(nèi)幕交易法律制度的共同趨勢(shì)。 第六章在結(jié)論部分,對(duì)論文進(jìn)行了簡(jiǎn)要概括,并再次強(qiáng)調(diào)禁止內(nèi)幕交易的重要性和緊迫性,這不僅是我國(guó)證券市場(chǎng)的需要,而且是我國(guó)經(jīng)濟(jì)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(xué)位授予單位】：延邊大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2009
【分類(lèi)號(hào)】：D922.287-03;D931.26

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 湯光華;中國(guó)股票市場(chǎng):癥結(jié)與出路[J];財(cái)經(jīng)問(wèn)題研究;1998年10期

2 鐘明曦;試析證券市場(chǎng)內(nèi)幕交易行為[J];福建金融;2000年07期

3 王忠;證券內(nèi)幕交易若干問(wèn)題研究[J];法律適用(國(guó)家法官學(xué)院學(xué)報(bào));2002年03期

4 齊文遠(yuǎn),金澤剛;內(nèi)幕交易的經(jīng)濟(jì)分析與法律規(guī)制[J];法商研究;2002年04期

5 張永來(lái);對(duì)我國(guó)證券內(nèi)幕交易行為規(guī)制的法律思考[J];甘肅行政學(xué)院學(xué)報(bào);2003年04期

6 程繼;證券市場(chǎng)內(nèi)幕交易及法律分析[J];海淀走讀大學(xué)學(xué)報(bào);2004年03期

7 李鵬程;禁止內(nèi)幕交易的法律價(jià)值定位[J];湖北廣播電視大學(xué)學(xué)報(bào);2000年02期

8 孫鶴鳴;證券市場(chǎng)禁止內(nèi)幕交易規(guī)則探析[J];金融教學(xué)與研究;2002年02期

9 鮑春曉;淺探我國(guó)證券市場(chǎng)內(nèi)幕交易的規(guī)制[J];江蘇商論;2003年10期

10 白建軍;證券業(yè)中的貪污行為——內(nèi)幕交易[J];中外法學(xué);1995年05期

相關(guān)碩士學(xué)位論文 前3條

1 康萌;內(nèi)幕交易監(jiān)管制度研究[D];鄭州大學(xué);2004年

2 徐軍;論內(nèi)幕交易的法律責(zé)任[D];華東政法學(xué)院;2001年

3 張麗娟;內(nèi)幕交易、泄露內(nèi)幕信息罪研究[D];吉林大學(xué);2004年

，

本文編號(hào)：1432525