本文關(guān)鍵詞： 眾籌 刑法風(fēng)險(xiǎn) 刑法規(guī)制　出處：《西南財(cái)經(jīng)大學(xué)》2016年碩士論文　論文類型：學(xué)位論文

【摘要】：眾籌融資模式最先在美國(guó)興起并且發(fā)展迅速,2011年7月,我國(guó)第一家眾籌平臺(tái)——點(diǎn)名時(shí)間在國(guó)內(nèi)上線,這標(biāo)志著眾籌融資模式正式進(jìn)入中國(guó)。數(shù)據(jù)統(tǒng)計(jì),眾籌模式在國(guó)內(nèi)發(fā)展的近五年時(shí)間里,受到了廣泛歡迎并且出現(xiàn)了眾多的成功融資項(xiàng)目。但是,眾籌融資模式畢竟是一個(gè)新興的融資方式,其在發(fā)展的過(guò)程中也出現(xiàn)了一些問(wèn)題,比如有涉嫌非法集資犯罪的風(fēng)險(xiǎn),本文正是圍繞這一問(wèn)題進(jìn)行展開。本文對(duì)所搜集的文獻(xiàn)資料進(jìn)行歸納、整理,在對(duì)我國(guó)眾籌模式的理論分類以及現(xiàn)實(shí)實(shí)踐進(jìn)行歸納總結(jié)的基礎(chǔ)上,分析了在我國(guó)當(dāng)前法制環(huán)境下眾籌模式可能引發(fā)的刑事法律風(fēng)險(xiǎn),然后提出未來(lái)我國(guó)對(duì)違法眾籌行為進(jìn)行刑法規(guī)制的路徑。本文正文分為三個(gè)部分。第一部分闡述我國(guó)眾籌的現(xiàn)實(shí)實(shí)踐和法律規(guī)制。首先,通過(guò)對(duì)眾籌的來(lái)源入手界定了眾籌的概念,認(rèn)為眾籌是融資者通過(guò)互聯(lián)網(wǎng)或者其他電子媒介向投資者募集項(xiàng)目資金的融資模式。隨后梳理了眾籌的類型：根據(jù)投資者所得回報(bào)方式的不同,將眾籌分為四類(即股權(quán)眾籌、債權(quán)眾籌、獎(jiǎng)勵(lì)眾籌和捐贈(zèng)眾籌)。其次,分析了對(duì)眾籌進(jìn)行法律規(guī)制的必要性。認(rèn)為我國(guó)眾籌是一種創(chuàng)新型融資模式,實(shí)踐中已經(jīng)出現(xiàn)一些疑似違法的眾籌活動(dòng),對(duì)眾籌進(jìn)行法律規(guī)制十分必要。最后,通過(guò)對(duì)近幾年在國(guó)內(nèi)出臺(tái)的有關(guān)眾籌的法律法規(guī)的梳理,認(rèn)為雖然一些疑似違法的眾籌活動(dòng)具有非法集資犯罪的可能,但是由于目前國(guó)家對(duì)眾籌還未出臺(tái)明確、完備的法律法規(guī)進(jìn)行規(guī)范,如果對(duì)這些疑似違法的眾籌活動(dòng)進(jìn)行刑法規(guī)制,還沒有明確的法律根據(jù)。第二部分分析我國(guó)當(dāng)下眾籌的刑法風(fēng)險(xiǎn)。首先,在現(xiàn)行法律體系下明確了合法眾籌活動(dòng)和違法眾籌活動(dòng)的邊界,認(rèn)為合法的眾籌活動(dòng)應(yīng)當(dāng)在已有法律法規(guī)的范圍內(nèi)進(jìn)行,而且應(yīng)當(dāng)堅(jiān)持“法無(wú)禁止即自由”,只要法律沒有明文禁止就可以開展眾籌活動(dòng),一旦超越法律的界限就應(yīng)當(dāng)認(rèn)為是違法眾籌活動(dòng)。接著分析了四種眾籌模式各自可能面臨的刑事法律風(fēng)險(xiǎn),認(rèn)為股權(quán)眾籌是目前唯一一個(gè)有法規(guī)對(duì)其進(jìn)行規(guī)制的眾籌模式,違法股權(quán)眾籌具有現(xiàn)實(shí)的刑事法律風(fēng)險(xiǎn)。但是,對(duì)于其他眾籌模式進(jìn)行刑法規(guī)制在實(shí)踐中還存在著諸多問(wèn)題。其次,分析了違法眾籌的本質(zhì)和對(duì)其進(jìn)行刑法規(guī)制的可行性。本文依據(jù)《2010年非法集資解釋》第一條的規(guī)定,分析了違法眾籌活動(dòng)的本質(zhì),認(rèn)為違法眾籌活動(dòng)具有非法集資的四個(gè)特征,本質(zhì)是一種非法吸收資金的行為,而且對(duì)其進(jìn)行刑法規(guī)制具有可行性。最后,分析了當(dāng)前《刑法》對(duì)違法眾籌活動(dòng)沒有進(jìn)行刑法規(guī)制的原因。認(rèn)為目前對(duì)于現(xiàn)實(shí)出現(xiàn)的違法眾籌活動(dòng),國(guó)家沒有將其上升到刑法層面進(jìn)行處理,一是由于國(guó)家相關(guān)部門認(rèn)為尚且可以利用民事法律或者行政法規(guī)對(duì)這些違法眾籌活動(dòng)進(jìn)行規(guī)制,而刑法規(guī)制還沒有具體、明確的法律界限；二是由于當(dāng)前國(guó)家鼓勵(lì)大眾創(chuàng)業(yè),對(duì)眾籌活動(dòng)進(jìn)行刑法規(guī)制有可能會(huì)誤傷眾籌融資創(chuàng)業(yè)者的積極性。這體現(xiàn)了我國(guó)刑法的謙抑性原則。第三部分對(duì)我國(guó)違法眾籌的刑法規(guī)制進(jìn)行展望。認(rèn)為我國(guó)未來(lái)對(duì)于違法眾籌進(jìn)行刑法規(guī)制,首先,需要制訂明確的“一次法”規(guī)范,將“一次法”規(guī)范作為對(duì)違法眾籌活動(dòng)進(jìn)行刑法規(guī)制的前提依據(jù),進(jìn)而明確違法眾籌與合法眾籌的界限。其次,需要明確違法眾籌行為入罪的犯罪性質(zhì)和標(biāo)準(zhǔn)。認(rèn)為違法眾籌活動(dòng)應(yīng)當(dāng)是一種非法吸收資金行為,可能構(gòu)成非法吸收公眾存款罪甚至集資詐騙罪(如果有非法占有目的的話)；其入罪標(biāo)準(zhǔn)應(yīng)當(dāng)是,當(dāng)融資者假借合法眾籌的形式開展非法吸收資金行為而達(dá)到刑事法律規(guī)定的入罪標(biāo)準(zhǔn)時(shí),應(yīng)當(dāng)依照《刑法》和相關(guān)司法解釋的規(guī)定對(duì)其作出處罰。本文可能的創(chuàng)新：其一,從學(xué)理上探討了現(xiàn)實(shí)違法眾籌活動(dòng)的本質(zhì)和刑法風(fēng)險(xiǎn),認(rèn)為違法眾籌活動(dòng)具有非法集資的本質(zhì),具有引發(fā)非法集資犯罪的風(fēng)險(xiǎn)。其二,對(duì)我國(guó)未來(lái)對(duì)于違法眾籌刑法規(guī)制的問(wèn)題提出了自己的見解,認(rèn)為未來(lái)對(duì)于眾籌需要制訂明確的“一次法”規(guī)范,明確違法眾籌與合法眾籌的界限,在此基礎(chǔ)上,可以將違法眾籌活動(dòng)納入非法集資犯罪的范圍內(nèi)進(jìn)行刑法規(guī)制。本文的不足：由于所掌握的文獻(xiàn)資料不充分和自身的理論水平有限,使得對(duì)文中關(guān)于違法眾籌活動(dòng)刑法謙抑處理的理論分析和刑法規(guī)制路徑的探討顯得不足,在這方面需要改進(jìn)。
[Abstract]:The mode of financing the first rise in the United States and the rapid development of our country in July 2011, the first public to raise the platform - named time at home on the line, which marks the formal entry into the mode of financing. China statistics, the congregation raised pattern in the domestic development of nearly five years, has been widely welcomed and there have been many the success of project financing. However, the mode of financing is a new financing mode, it also appeared some problems in the process of development, such as the risk of the alleged crime of illegal fund-raising, this paper is focus on the issue. This paper summarizes the collected literature based. Summing up the theory in the classification of all the chips mode and practice, analyzed in our current legal environment to raise public mode of criminal legal risk may arise, and then put forward the future The path for China to regulate illegal congregation behavior. This text is divided into three parts. The first part describes the practice of all the chips and legal regulation. First of all, through the source of all the chips on the paper defines the concept of the public to raise, raise public financing that is through the Internet or other electronic media to raise project funds to investors financing mode. Then it analyzes the types of chips: according to the return to investors in different ways, the congregation is divided into four categories (i.e., public equity raise, raise public debt, incentives to raise the public and raise public donations). Secondly, analyzes the necessity of legal regulation to raise the public. Think of all the chips is a kind of innovative financing mode, in practice there have been some suspected illegal activities to raise public, it is necessary to regulate all the chips. Finally, through the introduction of relevant laws and regulations in China in recent years to raise the Combing, argues that while some suspected illegal activities to raise public with illegal fund-raising crime, but due to the current state of the congregation had not issued clear laws and regulations, complete specifications, if the suspected illegal activities of the congregation raised the criminal law system, has no clear legal basis. The second part analyzes the risk of criminal law China to raise the public. First of all, under the current legal system clear legal and illegal activities to raise public activities to raise public boundary, considered legal activities to raise public should be in the scope of the existing laws and regulations, and should adhere to the "no law that prohibits freedom, as long as the law does not expressly prohibited to carry out all the raise the activity, once beyond the limit of the law should be considered illegal activities to raise public. Then analyzes the criminal legal risk of four kinds of mode all the chips each may face, that is currently the only public equity raise One has regulations to regulate it raising mode, to raise public equity with illegal criminal legal risk reality. However, for the rest of the congregation raised pattern of criminal law in practice there are still many problems. Secondly, analyzing the nature of illegal chips and the feasibility of the criminal law to regulate it. On the basis of <2010 illegal fund-raising explanations of the provisions of Article 1, analyzes the nature of the illegal activities of the congregation to raise, that illegal activities to raise public has four characteristics of illegal fund-raising, in essence is a kind of illegal absorption of funds, but also has the feasibility of the criminal law to regulate it. Finally, analysis of the current criminal law to raise public law "no criminal law. For the reality that the current illegal activities to raise public, no country will rise to the level of criminal law for processing, one is due to the relevant departments of the state that still can benefit The regulation of civil law or administrative regulations on these illegal activities to raise public, and there is no specific legal regulation of criminal law, clear boundaries; two is due to the current state encourages public entrepreneurship, enthusiasm to raise public activities in criminal law regulation may injure the public to raise financing for entrepreneurs. It embodies the principle of modesty I in the criminal law. The third part discussed the prospect of China's criminal law illegal to raise the public. I think in the future to raise public law in criminal law, first of all, to establish a clear "one" standard, "a standard method for illegal activities to raise public of the criminal law of the premise, and then clear the illegal and legal boundaries to raise the public to raise the public. Secondly, the nature of the crime and illegal behavior standards need to be clear all the chips into sin. That illegal activities to raise public should be a kind of illegal absorption of funds, may constitute a non law The absorption of public deposits crime of financial fraud (even if there is the purpose of illegal possession; the conviction standard words) should be carried out when the funds illegally financing legal behavior under the guise of all the chips in the form of criminal law and reach the standard of conviction, should be in accordance with the "criminal Law > and related judicial interpretation of the provisions of punishment on the innovation of this article: first, to explore the real nature of illegal and criminal activities to raise public risk from theory, that the illegal activities to raise public nature of illegal fund-raising, has raised the risk of illegal fund-raising crime. Secondly, to our country in the future to raise public illegal criminal law problems of their own the views that the future for the public to raise the need to establish a clear" one law "standard, clear the illegal and legal boundaries to raise the public to raise the public, on this basis, can raise public illegal activities into illegal fund-raising crime Within the scope of criminal law. The shortcoming of this paper: because the literature is not sufficient and their theoretical level is limited, the problem is to discuss about the illegal congregation theory and criminal law criminal law processing path activities in this paper needs to be improved in this respect.

【學(xué)位授予單位】：西南財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2016
【分類號(hào)】：D924.3

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