【摘要】：我國自上世紀(jì)八十年代建立證券市場以來，證券市場作為資本籌集和配置的重要場所對(duì)于我國經(jīng)濟(jì)社會(huì)的長足發(fā)展起到了不可替代的作用，但由于證券市場自身的高風(fēng)險(xiǎn)性和不確定性，導(dǎo)致證券價(jià)格往往是瞬息萬變，各種影響證券價(jià)格的因素紛繁復(fù)雜，對(duì)證券市場的監(jiān)督和管理就顯得十分重要。內(nèi)幕交易罪是證券市場中時(shí)有發(fā)生且十分典型的一種違法犯罪活動(dòng)，長久以來，我國理論界與實(shí)務(wù)界都對(duì)內(nèi)幕交易罪的犯罪構(gòu)成等方面有過研究，但面對(duì)復(fù)雜多變的現(xiàn)實(shí)情況，同時(shí)對(duì)照國外相關(guān)的先進(jìn)立法，有必要進(jìn)一步厘清內(nèi)幕交易罪的犯罪構(gòu)成中的相關(guān)問題。 內(nèi)幕交易本質(zhì)上是行為人因其獲取的內(nèi)幕信息而處于信息上的優(yōu)勢(shì)地位，進(jìn)而借助這種優(yōu)勢(shì)地位從事證券交易謀取不正當(dāng)利益。內(nèi)幕交易違背了證券市場“公平、公正、公開”的“三公”原則，不僅破壞了證券市場的正常秩序，還對(duì)其他市場主體合法權(quán)益造成侵害。對(duì)于一般內(nèi)幕交易行為，我國證監(jiān)會(huì)借助相關(guān)行政法規(guī)進(jìn)行打擊；對(duì)于構(gòu)成犯罪的內(nèi)幕交易行為，我國刑法以刑罰的手段對(duì)其進(jìn)行制裁。本文從刑法學(xué)的角度首先在第一部分對(duì)內(nèi)幕交易罪的犯罪對(duì)象內(nèi)幕信息做出闡述，論述了內(nèi)幕信息的概念及范圍、內(nèi)幕信息的特征，關(guān)于內(nèi)幕信息的特征提出了以重要性、未公開性和相關(guān)性為內(nèi)容的三特征說。文章第二部分論述了內(nèi)幕交易罪犯罪構(gòu)成中的犯罪主體，，具體包括犯罪主體的屬性以及犯罪主體的構(gòu)成。文章第三部分對(duì)內(nèi)幕交易罪的行為方式進(jìn)行研究分析，以“利用”及泄露內(nèi)幕信息、“建議”他人利用內(nèi)幕信息進(jìn)行交易為切入口界定了內(nèi)幕交易罪的行為方式。第四部分也就是本文最后對(duì)內(nèi)幕交易罪的犯罪構(gòu)成提出立法上的完善建議，以期對(duì)內(nèi)幕交易罪的刑法規(guī)制工作帶來些許啟示。
[Abstract]:Since the establishment of the securities market in China in the 1980s, the securities market, as an important place for capital raising and allocation, has played an irreplaceable role in the rapid development of China's economy and society. However, due to the high risk and uncertainty of the securities market itself, the securities price is often changing rapidly, and the factors that affect the securities price are numerous and complex, so it is very important to supervise and manage the securities market. Insider trading crime is a kind of illegal and criminal activity that occurs from time to time in the securities market. For a long time, the theoretical and practical circles of our country have studied the crime constitution of insider trading crime, but in the face of complex and changeable reality, At the same time, compared with the relevant advanced legislation abroad, it is necessary to further clarify the relevant problems in the crime of insider trading. In essence, insider trading is the dominant position of the actor in the information because of the insider information obtained by him, and then he is engaged in securities trading for improper interests with the help of this dominant position. Insider trading violates the principle of "fairness, fairness and openness" in the securities market, which not only destroys the normal order of the securities market, but also infringes on the legitimate rights and interests of other market subjects. For the general insider trading behavior, the CSRC deals with it with the help of relevant administrative regulations, and for the insider trading behavior which constitutes a crime, the criminal law of our country punishes it by means of penalty. From the perspective of criminal law, this paper first expounds the insider information of the criminal object of insider trading crime, discusses the concept and scope of insider information, the characteristics of insider information, and puts forward the importance of the characteristics of insider information. Lack of openness and relevance are the three characteristics of the content. The second part of the article discusses the crime of insider trading crime in the crime of the subject of crime, including the attributes of the subject of crime and the composition of the subject of crime. In the third part of the article, the behavior mode of insider trading crime is studied and analyzed, and the behavior mode of insider trading crime is defined by "using" and divulging insider information and "suggesting" others to use insider information for trading. The fourth part is the last part of this paper to improve the composition of the crime of insider trading, in order to bring some enlightenment to the criminal law regulation of the crime of insider trading.
【學(xué)位授予單位】：廣東財(cái)經(jīng)大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D924.3

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