本文選題：證券 + 監(jiān)管��； 參考：《廣西師范大學(xué)》2012年碩士論文

【摘要】：證券源于中世紀的歐洲,隨后現(xiàn)代經(jīng)濟貿(mào)易的興起帶動商業(yè)繁榮,公司企業(yè)為滿足資金需求而發(fā)行證券股票,形成了證券市場。證券市場成為實行市場經(jīng)濟體制的國家經(jīng)濟體系中最重要的且不可缺少的一部分,健康正常的市場能充分發(fā)揮其功能,實現(xiàn)建立證券市場的初衷,也適應(yīng)和促進經(jīng)濟發(fā)展。但隨著證券市場的繁榮,與之相關(guān)的犯罪活動也日益增加,其中內(nèi)幕交易行為已經(jīng)越來越多引起世界各國與地區(qū)的注意,只要有關(guān)證券、期貨的立法,均會把懲治內(nèi)幕交易放在首位。由于內(nèi)幕交易行為會對證券市場帶來災(zāi)難性的危害,尤其是隨著證券市場國際化程度越來越高,內(nèi)幕交易罪的發(fā)生頻率越來越高,同時對這類案件調(diào)查的難度越來越大,內(nèi)幕交易已不僅是一個國家的國內(nèi)犯罪問題,而是越來越演變成全球證券市場面臨的一個共同問題。 我國證券市場起步晚,相應(yīng)的監(jiān)管制度也發(fā)展相對落后。特別是具體制度建設(shè)在我國監(jiān)管立法中的缺失,同時也對股票市場的健康發(fā)展產(chǎn)生巨大影響。因此我們國家在發(fā)展市場經(jīng)濟的同時對于引進西方先進經(jīng)濟工具—證券,不但應(yīng)該認識證券、證券市場的淵源與本質(zhì),更應(yīng)當在制度建設(shè)上吸取經(jīng)驗教訓(xùn),完善法制監(jiān)管。 本文基本結(jié)構(gòu)分為四部分,分別是：第一部分,內(nèi)幕交易行為概述。對與本文議題緊密關(guān)聯(lián)的概念予以介紹,并概括了其主要的特征,回歸到立法領(lǐng)域探討限制內(nèi)幕交易的依據(jù)；第二部分,內(nèi)幕交易監(jiān)管重要性。從證券市場基本功能以及禁止內(nèi)幕交易的實效入手,重點分析股市中內(nèi)幕交易的不良影響,強調(diào)監(jiān)管所起到的積極效應(yīng)；第三部分,我國內(nèi)幕交易監(jiān)管的現(xiàn)狀。通過實踐案例反思,發(fā)現(xiàn)現(xiàn)實操作的效果,從中總結(jié)我們國家在監(jiān)管股市內(nèi)幕交易中所遇到的困難,最重要是反思法律制度上的不足與缺失；第四部分,完善我國內(nèi)幕交易監(jiān)管制度的建議。對比先進國家在監(jiān)管內(nèi)幕交易領(lǐng)域的法制建設(shè)的基礎(chǔ)上,提出了適合我國國情的防范內(nèi)幕交易的制度建議。
[Abstract]:Securities originated in medieval Europe, then the rise of modern economic and trade led to the prosperity of business, companies and enterprises to meet the demand for funds to issue securities stocks, formed the securities market. The securities market has become the most important and indispensable part of the national economic system of the market economy system. A healthy and normal market can give full play to its function, realize the original intention of establishing the securities market, and also adapt and promote the economic development. However, with the prosperity of the securities market, criminal activities related to it are also increasing day by day. Among them, insider trading has attracted more and more attention from all countries and regions in the world. As long as the legislation on securities and futures is concerned, Will punish insider trading in the first place. As insider trading will bring disastrous harm to the securities market, especially with the increasing degree of internationalization of the securities market, the crime of insider trading is occurring more and more frequently, and it is becoming more and more difficult to investigate such cases. Insider trading is not only a national crime problem, but also a common problem in the global securities market. China's securities market started late, the corresponding regulatory system is relatively backward. In particular, the lack of specific system construction in China's regulatory legislation also has a great impact on the healthy development of the stock market. Therefore, our country should not only understand the origin and essence of securities and securities market, but also draw lessons from the system construction and perfect the legal system supervision in the process of developing market economy and introducing western advanced economic instruments-securities. The basic structure of this paper is divided into four parts: the first part is an overview of insider trading behavior. This paper introduces the concept closely related to the topic of this paper, and summarizes its main characteristics, and returns to the legislative field to explore the basis for restricting insider trading; the second part, the importance of insider trading supervision. Starting with the basic functions of the securities market and the effectiveness of the prohibition of insider trading, this paper focuses on the analysis of the adverse effects of insider trading in the stock market, and emphasizes the positive effects of supervision; the third part, the present situation of the supervision of insider trading in China. Through the reflection of practical cases, find out the effect of practical operation, and sum up the difficulties our country has encountered in regulating insider trading in stock market. The most important is to reflect on the shortcomings and deficiencies of the legal system; part four, Suggestions on perfecting China's Insider Trading Supervision system. On the basis of comparing the legal construction in the field of supervision and control of insider trading in advanced countries, this paper puts forward some system suggestions for preventing insider trading which are suitable for the national conditions of our country.
【學(xué)位授予單位】：廣西師范大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2012
【分類號】：D922.287;F832.51

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