本文選題：內(nèi)幕交易 + 并購重組　； 參考：《中南大學(xué)》2013年碩士論文

【摘要】：內(nèi)幕交易行為幾乎與證券市場相伴相生,其頑固性猶如套在資本市場上的“緊箍咒”。我國是一個新興的市場經(jīng)濟國家,證券市場產(chǎn)生與成長于經(jīng)濟轉(zhuǎn)軌時期,這種特殊的背景使得我國證券市場內(nèi)幕交易行為頻發(fā),特別是在上市公司并購重組過程中表現(xiàn)得更為嚴(yán)重。由于上市公司并購重組從決策到實施的過程漫長,其行為結(jié)構(gòu)復(fù)雜,內(nèi)幕信息具有信息鏈長、傳遞的多層次性,參與方眾多,因而內(nèi)幕信息的知情人員更多、組成更復(fù)雜,且往往與市場操縱等違法行為交織在一起等特征,因而以我國資本市場中公司并購重組的內(nèi)幕交易為研究對象,直面并購重組成為當(dāng)下內(nèi)幕交易等證券違法行為重災(zāi)區(qū)的現(xiàn)狀,提出規(guī)制并購重組中內(nèi)幕交易的法律對策,為防控、遏制呈高發(fā)態(tài)勢的上市公司并購重組中內(nèi)幕交易行為提供審慎建議和思路。 本文首先結(jié)合公司并購重組和內(nèi)幕交易的基本理論,就并購重組中的內(nèi)幕交易概念、特征及其構(gòu)成要件行為,并購重組中內(nèi)幕交易頻發(fā)的原因等基本理論問題進(jìn)行了論述；并通過并購重組中內(nèi)幕交易典型案例的討論,對我國并購重組中內(nèi)幕交易行為的法律適用以及并購重組中內(nèi)幕交易行為的司法追責(zé)形式進(jìn)行了分析。然后在梳理我國現(xiàn)有法律體系對內(nèi)幕交易已有的法律規(guī)范的基礎(chǔ)上,借鑒各國經(jīng)驗教訓(xùn),提出構(gòu)建聯(lián)動的監(jiān)管網(wǎng)絡(luò),從完善我國并購重組中內(nèi)幕交易的防控法律制度以及自律性組織防控機制兩個方面,提出了自己的構(gòu)想。最后就完善我國并購重組中內(nèi)幕交易的法律責(zé)任體系進(jìn)行了思考,提出完善現(xiàn)有的刑事法律責(zé)任規(guī)范,搭建刑事責(zé)任與行政責(zé)任的對接機制,以及完善內(nèi)幕交易的民事侵權(quán)賠償制度。
[Abstract]:Insider trading is almost concomitant with the stock market, and its inflexibility is like the "magic of hoops" applied in the capital market. Our country is a new market economy country, the stock market produces and grows in the economic transition period, this kind of special background causes our country stock market insider trading behavior to occur frequently. Especially in the process of mergers and acquisitions of listed companies more serious. Due to the long process from decision-making to implementation of M & A of listed companies, its behavior structure is complex, the inside information has long information chain, multi-level transmission, many participants, so the insider information has more informed personnel and more complex composition. And it is often intertwined with illegal activities such as market manipulation. Therefore, taking the insider trading of corporate M & A and reorganization in our capital market as the object of study, facing up to the current situation of securities illegal activities such as insider trading and other serious disaster areas, we face up to the current situation of securities illegal practices such as insider trading. This paper puts forward legal countermeasures to regulate insider trading in M & A reorganization, which provides prudent suggestions and ideas for prevention, control and containment of insider trading in M & A of listed companies. In this paper, the basic theory of corporate M & A and insider trading is discussed, including the concept of insider trading, its characteristics and its constitutive elements, and the causes of frequent insider trading in M & A. Based on the discussion of typical cases of insider trading in M & A, this paper analyzes the legal application of insider trading in M & A and the judicial accountability of insider trading in M & A. Then, on the basis of combing the existing legal norms of insider trading in China's existing legal system, and drawing lessons from the experiences of other countries, the author puts forward the construction of a linkage regulatory network. From two aspects of perfecting the legal system of prevention and control of insider trading and the mechanism of prevention and control of self-discipline organization, the author puts forward his own conception. Finally, the author thinks about how to perfect the legal liability system of insider trading in M & A reorganization in China, and puts forward to perfect the existing norms of criminal legal liability, and to set up the docking mechanism between criminal liability and administrative responsibility. And perfect the civil tort compensation system of insider trading.
【學(xué)位授予單位】：中南大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.291.91

【參考文獻(xiàn)】

相關(guān)期刊論文 前10條

1 趙秉志,陳志軍;證券內(nèi)幕交易犯罪若干問題比較研究[J];比較法研究;2005年03期

2 張文魁;;我國資本市場上并購重組的特點與政策[J];重慶工學(xué)院學(xué)報(社會科學(xué)版);2009年08期

3 王昌來;淺析證券內(nèi)幕交易中的內(nèi)幕信息[J];當(dāng)代法學(xué);2001年09期

4 侯幼萍;;論公司收購中內(nèi)幕交易的認(rèn)定及我國相關(guān)立法完善——對鄧軍等內(nèi)幕交易行政處罰案的思考[J];甘肅社會科學(xué);2010年04期

5 趙廣示;;內(nèi)幕交易:證券市場主要矛盾——加快立法建設(shè) 控防嚴(yán)打刻不容緩[J];貴州大學(xué)學(xué)報(社會科學(xué)版);2010年05期

6 李茂強;內(nèi)幕人交易的規(guī)制理論與內(nèi)幕人的范圍——以美國法為比較分析的素材[J];河北法學(xué);2004年04期

7 張惠芳;淺析內(nèi)幕交易、泄露內(nèi)幕信息罪的幾個問題[J];河北法學(xué);2004年09期

8 余萍;;內(nèi)幕交易犯罪定罪難點分析[J];河北法學(xué);2010年02期

9 彭少輝;;上市公司并購重組中的內(nèi)幕交易研究[J];河北金融;2011年06期

10 李文莉;;內(nèi)幕交易的構(gòu)成要件淺析[J];合肥學(xué)院學(xué)報(社會科學(xué)版);2006年01期

，

本文編號：2046105