本文選題：內(nèi)幕交易 + 金融　； 參考：《延邊大學(xué)》2015年碩士論文

【摘要】：在我國(guó)現(xiàn)今的經(jīng)濟(jì)發(fā)展中內(nèi)幕交易行為一直屢禁不止,究其原因可以分為兩個(gè)方面,一個(gè)方面是我國(guó)在內(nèi)幕交易方面的法律規(guī)制并不健全,另一個(gè)方面是我國(guó)在反內(nèi)幕交易的行業(yè)自律監(jiān)管體制上的缺失。根據(jù)我國(guó)目前的經(jīng)濟(jì)發(fā)展現(xiàn)狀筆者認(rèn)為我國(guó)應(yīng)該直視問(wèn)題的存在,并運(yùn)用合法、合理的手段去解決目前存在的問(wèn)題。在此筆者認(rèn)為制定《反內(nèi)幕交易法》和建立行業(yè)自律監(jiān)管體制是解決內(nèi)幕交易問(wèn)題的關(guān)鍵之一。本文主要是分五個(gè)部分來(lái)對(duì)我國(guó)的反內(nèi)幕交易法律制度進(jìn)行探究。第一部分為緒論,主要的內(nèi)容是介紹研究?jī)?nèi)幕交易的目的和意義、我國(guó)在內(nèi)幕交易上研究的現(xiàn)狀、本文所使用的研究方法。第二部分是對(duì)內(nèi)幕交易概述進(jìn)行的介紹,主要是介紹內(nèi)幕交易的概念、主體、客體、行為,在通過(guò)概述的介紹來(lái)分析8.16事件。其中體現(xiàn)出的問(wèn)題有法律對(duì)內(nèi)幕交易認(rèn)定的授權(quán)不明確以及對(duì)內(nèi)幕交易的認(rèn)定標(biāo)準(zhǔn)上并不全面;我國(guó)法律對(duì)內(nèi)幕交易的規(guī)定過(guò)于零散,不利于執(zhí)法者的執(zhí)法;受損者在內(nèi)幕交易發(fā)生后追償過(guò)于困難等問(wèn)題。第三部分是對(duì)中外反內(nèi)幕交易立法現(xiàn)狀的介紹,總結(jié)出我國(guó)在反內(nèi)幕交易法律制度建設(shè)上可以借鑒或者是學(xué)習(xí)的相關(guān)法律制度。第一可以借鑒的是歐盟的立法結(jié)構(gòu),歐盟是以一個(gè)基本法為主,三個(gè)指令實(shí)施細(xì)則和一個(gè)條例為輔的,而我國(guó)的反內(nèi)幕交易法律卻是散落在眾多的法律和政府規(guī)章之中;第二歐盟在內(nèi)幕交易管制的內(nèi)容上是完全覆蓋在整個(gè)金融系統(tǒng),而我國(guó)卻是只停留在證券行業(yè),我國(guó)的法律規(guī)定顯然不符合未來(lái)經(jīng)濟(jì)的發(fā)展需要;第三歐盟法律中提到的避風(fēng)港規(guī)則,在避風(fēng)港規(guī)則概念上我國(guó)是完全空白的,而從經(jīng)濟(jì)發(fā)展趨勢(shì)上講,建立避風(fēng)港規(guī)則不光是填補(bǔ)了我國(guó)在內(nèi)幕交易法律規(guī)制的空白,更是為我國(guó)的經(jīng)濟(jì)發(fā)展與世界接軌減小摩擦、縮短距離的必要手段。第四我國(guó)在金融行業(yè)并不存在自律監(jiān)管體制,英國(guó)的行業(yè)自律監(jiān)管體制值得我國(guó)借鑒。第四部分是對(duì)我國(guó)反內(nèi)幕交易法律制度的構(gòu)建上提出的幾點(diǎn)建議,主要是從制定《反內(nèi)幕交易法》、法院收歸內(nèi)幕交易的認(rèn)定權(quán)、內(nèi)幕交易的管制擴(kuò)大到金融領(lǐng)域、建立內(nèi)幕交易的責(zé)任豁免制度、設(shè)立反內(nèi)幕交易委員會(huì)五個(gè)方面進(jìn)行論述。
[Abstract]:In the present economic development of our country, insider trading has been prohibited repeatedly. The reasons can be divided into two aspects. One aspect is that the legal regulation on insider trading is not perfect in our country.Another aspect is the absence of self-regulation system in anti-insider trading industry.According to the present economic development situation of our country, the author thinks that our country should look directly at the existence of the problem, and use legal and reasonable means to solve the existing problem.In this paper, the author thinks that it is one of the keys to solve the problem of insider trading to formulate the Anti-insider Trading Law and to establish an industry self-regulatory system.This article is divided into five parts to explore the anti-insider trading legal system in China.The first part is the introduction, the main content is to introduce the purpose and significance of the study of insider trading, the current situation of the research on insider trading in China, and the research methods used in this paper.The second part is an overview of insider trading, mainly introduces the concept of insider trading, subject, object, behavior, through the introduction of the summary to analyze the 8.16 event.The problems reflected in the law are that the authorization of insider trading is not clear and the standard of insider trading is not comprehensive, the regulations on insider trading in our country are too fragmented, which is not conducive to the enforcement of the law.It is too difficult for the injured to recover after insider trading.The third part introduces the current situation of anti-insider trading legislation in China and foreign countries, and summarizes the relevant legal systems that can be used for reference or learned in the construction of anti-insider trading legal system in China.The first is the legislative structure of the European Union, which is mainly based on one basic law, supplemented by three directives and one regulation, while the anti-insider trading laws of our country are scattered in numerous laws and government regulations.The second EU is completely covered in the whole financial system in the content of insider trading regulation, but our country is only in the securities industry, the legal provisions of our country obviously do not meet the needs of the future economic development;In the third EU law, the safe haven rules mentioned in the EU law are completely blank in the concept of safe haven rules in our country. In terms of the trend of economic development, the establishment of haven rules not only fills up the gaps in the legal regulation of insider trading in our country.It is also necessary to reduce friction and shorten distance for the economic development of our country.Fourth, there is no self-regulatory system in financial industry in our country.The fourth part is the construction of the anti-insider trading legal system in China, mainly from the formulation of "Anti-Insider Trading Law", the court back to the right to identify insider trading, the regulation of insider trading to expand to the financial field.The establishment of insider trading liability exemption system, the establishment of anti-insider trading committee in five aspects.
【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】：2015
【分類(lèi)號(hào)】：D922.287

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