【摘要】：我國證券市場建立時間不長，發(fā)展速度卻是相當(dāng)驚人。在我國證券市場飛速發(fā)展的同時，也存在著“老鼠倉”、市場操縱等違法犯罪行為，其中危害最大的就是內(nèi)幕交易罪。筆者以內(nèi)幕交易罪作為本文的研究對象，分以下四個章節(jié)展開論述。 第一章是內(nèi)幕交易罪概述，，主要介紹內(nèi)幕交易罪的概念和國外關(guān)于內(nèi)幕交易犯罪的立法情況。首先敘述了內(nèi)幕交易罪的概念以及罪名分析，由于我國《刑法》第180條將內(nèi)幕交易行為與泄露內(nèi)幕信息行為并列，規(guī)定了一個內(nèi)幕交易、泄露內(nèi)幕信息罪，所以理論界有學(xué)者提出應(yīng)該定內(nèi)幕交易罪這樣一個單一罪名，或者內(nèi)幕交易罪與泄露內(nèi)幕信息罪兩個獨立的罪名，筆者認(rèn)為較合適的做法是定一個內(nèi)幕交易罪，對單純泄露內(nèi)幕信息情節(jié)嚴(yán)重的行為，交由《刑法》分則其他罪名來規(guī)制。隨后介紹了規(guī)制內(nèi)幕交易犯罪較有代表性的美國、日本以及歐盟的內(nèi)幕交易立法情況并總結(jié)了它們各自的特點。 第二章是本文的核心，主要討論了內(nèi)幕交易罪的構(gòu)成要件。筆者認(rèn)為內(nèi)幕交易罪侵犯的客體是金融管理秩序中有關(guān)內(nèi)幕信息的保密制度；并且內(nèi)幕信息具有秘密性和重要性兩大特征。內(nèi)幕交易罪的客觀方面，是本章的重點內(nèi)容，刑法理論中有關(guān)內(nèi)幕交易罪的爭議性問題也主要集中于此。本文將重點討論獲知內(nèi)幕信息人員明示、暗示他人進行內(nèi)幕交易如何定性、利用內(nèi)幕信息進行交易是否為構(gòu)成內(nèi)幕交易罪的必要條件、“不作為”行為能否構(gòu)成內(nèi)幕交易罪、“情節(jié)嚴(yán)重”如何認(rèn)定等一系列問題。內(nèi)幕交易罪的主觀方面，筆者認(rèn)為內(nèi)幕交易罪的主觀罪過形式是直接故意，并且牟取利益或者避免損失的犯罪目的不是構(gòu)成內(nèi)幕交易罪的必備要件。對于內(nèi)幕交易罪的對象認(rèn)識錯誤問題，即行為人在誤把不屬于內(nèi)幕信息的普通消息當(dāng)做內(nèi)幕信息或者將內(nèi)幕信息的重要信息誤認(rèn)為是普通信息而加以利用，可能是犯罪未遂或者不構(gòu)成犯罪。 第三章是討論了內(nèi)幕交易罪與利用未公開信息交易罪、誘騙投資者買賣證券罪、操縱證券市場罪的區(qū)別以及內(nèi)幕交易罪的犯罪形態(tài)。內(nèi)幕交易罪與上述犯罪在犯罪主體、行為方式、犯罪目的等方面存在諸多不同，實踐中還是比較容易區(qū)分的。內(nèi)幕交易罪雖然是情節(jié)犯，也存在犯罪預(yù)備、犯罪未遂、犯罪中止等犯罪未完成形態(tài)，并且司法實踐中也有行為人為了實施內(nèi)幕交易犯罪，其方法行為又觸犯其他罪名的牽連犯問題。 第四章是本文的最后一章，筆者對我國內(nèi)幕交易罪立法中存在的問題提出了自己的完善建議。我國內(nèi)幕交易罪立法中存在的問題主要有短線交易行為《刑法》未作規(guī)定、單位犯罪處罰較輕、刑罰設(shè)置不合理等；對此，筆者建議應(yīng)增加對短線交易行為的刑法規(guī)制、加重單位犯罪法定刑、降低非法獲取內(nèi)幕信息人員的法定刑。
[Abstract]:China's securities market is not established for a long time, but the speed of development is quite amazing. With the rapid development of the securities market in China, there are some illegal and criminal acts such as "rat warehouse" and market manipulation, among which the crime of insider trading is the most harmful. The author takes the crime of insider trading as the object of this paper, divided into the following four chapters. The first chapter is an overview of the crime of insider trading, mainly introduces the concept of the crime of insider trading and foreign legislation on the crime of insider trading. First of all, it describes the concept of the crime of insider trading and the analysis of the charge. Because Article 180 of the Criminal Law of our country juxtaposed the act of insider trading and the act of divulging inside information, it provides a crime of insider trading and the crime of divulging inside information. Therefore, some scholars in the theoretical circle have proposed that the crime of insider trading should be established as a single charge, or that the crime of insider trading and the crime of divulging inside information should be independently charged. The author thinks that the more appropriate way is to establish a crime of insider trading. The act of merely divulging inside information with serious circumstances is subject to other charges of criminal law. Then it introduces the legislation of insider trading in the United States, Japan and the European Union, which is representative of the crime of insider trading, and summarizes their respective characteristics. The second chapter is the core of this paper, mainly discusses the elements of the crime of insider trading. The author thinks that the object of the crime of insider trading is the secrecy system of inside information in the financial management order, and the inside information has two characteristics: secrecy and importance. The objective aspect of the crime of insider trading is the main content of this chapter, and the controversial issue of the crime of insider trading in the theory of criminal law also focuses on it. This paper will focus on how to characterize insider trading, whether it is necessary for insider trading to be constituted by insider information, and whether "omission" is a crime of insider trading. "serious circumstances" how to identify a series of issues. In the subjective aspect of insider trading crime, the author thinks that the subjective crime form of insider trading crime is direct intent, and the purpose of making profits or avoiding loss is not the essential element of insider trading crime. The problem of understanding the object of the crime of insider trading is that the perpetrator makes use of the common information which is not inside information as inside information or the important information of inside information as ordinary information. It could be an attempted crime or not constitute a crime. The third chapter discusses the difference between the crime of insider trading and the crime of using unpublished information to trade, the crime of deceiving investors to buy and sell securities, the crime of manipulating the securities market and the criminal form of the crime of insider trading. There are many differences between the crime of insider trading and the crime mentioned above in the subject of crime, the way of behavior, the purpose of crime and so on, and it is easy to distinguish between the crime and the crime in practice. Although the crime of insider trading is a crime of circumstances, there are also forms of uncompleted crime, such as preparation for crime, attempted crime, termination of crime, and in judicial practice, there are also perpetrators in order to commit the crime of insider trading. Its method behavior also offends the question of other crime implicated crime. The fourth chapter is the last chapter of this paper, the author puts forward his own suggestions on the problems existing in the legislation of insider trading crime in our country. The main problems in the legislation of insider trading crime in our country are that the short term trading behavior is not stipulated in the Criminal Law, the punishment of unit crime is lighter, the penalty set is unreasonable, and so on, the author suggests that we should increase the criminal law regulation of short term trading behavior. Increase the statutory punishment of unit crime, reduce the illegal access to insider information personnel legal penalty.
【學(xué)位授予單位】：上海大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2014
【分類號】：D924.33

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