本文選題：證券從業(yè)人員違背職責(zé)行為　切入點：刑法規(guī)制　出處：《中央民族大學(xué)》2012年碩士論文　論文類型：學(xué)位論文

【摘要】：近年來,伴隨著金融在國民經(jīng)濟(jì)中核心作用的日益凸顯,證券的重要性亦不言而喻,其涉及面廣,交易資金量大,在融通資本方面舉足輕重。與此同時,證券也成為了不法分子獵取巨額財富的目標(biāo),部分證券從業(yè)人員亦懷抱著僥幸心理,推波助瀾,試圖鉆法律的空子,追逐巨額財富,對法律的嚴(yán)肅性缺乏認(rèn)識,對違法行為的危害性缺乏認(rèn)知,利用職權(quán)進(jìn)行操縱、詐欺、侵吞等行為屢禁不止。究其原因,雖有證券市場逐步成熟需要付出一定成本的必然,也有體制機(jī)制建構(gòu)上的疏漏,還有證券權(quán)利人的整體失語。然而證券從業(yè)人員違背職責(zé)的行為懲治卻是其中不可忽略的原因之一,本文便是以此為對象,選取經(jīng)濟(jì)刑法這一視角,認(rèn)真梳理了證券從業(yè)人員違背職責(zé)行為的刑法規(guī)制現(xiàn)狀、規(guī)制的原因分析,對規(guī)制作出評價并提出完善建議。 證券從業(yè)人員違背職責(zé)的刑法規(guī)制經(jīng)歷了從身份規(guī)制到行為規(guī)制的變遷,經(jīng)歷了從懲罰到治理的轉(zhuǎn)變,體現(xiàn)了經(jīng)濟(jì)刑法一定的發(fā)展軌跡,也展現(xiàn)了經(jīng)濟(jì)法宏觀調(diào)控的歷史脈絡(luò)。雖然各種部門法都有別于其他部門法的基礎(chǔ),但都越來越不同程度地融合到參與國家社會的治理、人性向善的塑造中,最終形成一個多層次的規(guī)制系統(tǒng)。 認(rèn)真分析了證券從業(yè)人員違背職責(zé)行為所承擔(dān)的民事責(zé)任、行政責(zé)任和刑事責(zé)任現(xiàn)狀,探討了任何一種責(zé)任都同時存在內(nèi)在及外在的矛盾或沖突情況。指出民事、行政和刑事責(zé)任的這種層次性和階段性,必然導(dǎo)致規(guī)制證券從業(yè)人員違背職責(zé)行為唯有在民事責(zé)任不完全和行政處罰失效的情況下,才有進(jìn)一步用刑事責(zé)任的承擔(dān)來維護(hù)證券安全和保護(hù)證券權(quán)益的必要,進(jìn)而主張構(gòu)建獨立有效的非刑罰懲治體系來規(guī)制證券從業(yè)人員違背職責(zé)的行為。 全而梳理了我國對證券從業(yè)人員的規(guī)制歷程,總結(jié)了法在規(guī)制證券從業(yè)人員違背職責(zé)行為上存在的問題。深入思考了刑法規(guī)制的功利性色彩,動輒將證券領(lǐng)域的不法行為犯罪化的現(xiàn)實；同時探索了刑法規(guī)制證券從業(yè)人員違背職責(zé)行為的補(bǔ)充性、從屬性,展現(xiàn)了刑法規(guī)制與國家干預(yù)、調(diào)控經(jīng)濟(jì)的契合,正是這種以在經(jīng)濟(jì)的運行中設(shè)置規(guī)制或禁止領(lǐng)域為前提,并將規(guī)制或禁止的領(lǐng)域進(jìn)行宣示后,才能對違背的行為進(jìn)行懲戒的方式深化了對經(jīng)濟(jì)刑法的理解。這是這種源自秩序規(guī)范的義務(wù)設(shè)定或者預(yù)設(shè)的權(quán)益剝奪,導(dǎo)致證券從業(yè)人員違背職責(zé)行為的刑法規(guī)制有別于傳統(tǒng)意義上人身、財產(chǎn)侵害行為的刑法規(guī)制,繼而在理念、懲戒方式等上的大相徑庭。
[Abstract]:In recent years, with the increasingly prominent role of finance in the national economy, the importance of securities is also self-evident. Security has also become a target for lawbreakers to hunt for huge amounts of wealth. Some of the securities practitioners have also embraced a fluky mentality and contributed to the flames by trying to exploit the gaps in the law, chasing after huge amounts of wealth, and lacking understanding of the seriousness of the law. Lack of understanding of the harmfulness of illegal acts, the use of authority to manipulate, fraud, embezzlement and other acts repeatedly prohibited. The reason is that although the securities market matures gradually need to pay a certain cost, but also the system and mechanism of the construction of omissions, There is also the whole aphasia of the holders of securities rights. However, the punishment of securities practitioners' breach of their duties is one of the reasons that can not be ignored. This article takes this as the object and selects the angle of view of economic criminal law. This paper makes a careful analysis of the present situation of the criminal law regulation of securities practitioners' breach of duty, analyzes the reasons of the regulation, evaluates the regulation and puts forward some suggestions to improve it. The regulation of securities practitioners who violate their duties has experienced the transition from identity regulation to behavior regulation, from punishment to governance, which reflects the development track of economic criminal law. It also shows the historical context of macroeconomic regulation and control of economic law. Although all kinds of branch laws are different from the basis of other branch laws, they are more and more integrated into participating in the governance of national society and shaping the human nature towards the good. Finally, a multi-level regulation system is formed. This paper analyzes seriously the present situation of civil liability, administrative liability and criminal liability of securities practitioners for breach of their duties, probes into the internal and external contradictions or conflicts existing in any kind of liability at the same time, and points out that civil affairs, This level and stage of administrative and criminal liability will inevitably lead to the regulation of securities practitioners violating their duties only if the civil liability is incomplete and the administrative punishment is invalid. It is necessary to maintain the security and protect the rights and interests of securities with the assumption of criminal responsibility, and then advocate the establishment of an independent and effective non-penalty punishment system to regulate the securities practitioners' violation of their duties. This part combs the regulation course of securities practitioners in our country, summarizes the problems existing in the regulation of securities practitioners' breach of duty by law, and thinks deeply about the utilitarian color of criminal law regulation. At the same time, it probes into the supplement of criminal law to regulate securities practitioners' breach of duty, and shows the agreement between criminal law regulation and state intervention, regulation and control of economy. It is this kind of regulation or prohibition in the operation of the economy as the premise, and the regulation or prohibition of the field after the declaration, The way in which the violation can be punished deepens the understanding of the economic criminal law. This is a denial of rights and interests that arises from the establishment of obligations or presupposition of the norms of order. As a result, the criminal law regulation of securities practitioners' breach of duty is different from the traditional criminal regulation of personal and property infringement, and then differs greatly in the concept, the way of punishment, and so on.
【學(xué)位授予單位】：中央民族大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D922.287;F832.51;D924

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本文編號：1558269