【摘要】：近些年來,隨著世界各國(guó)經(jīng)濟(jì)的貿(mào)易往來在不斷地加強(qiáng)和經(jīng)濟(jì)全球化的不斷地發(fā)展,洗錢活動(dòng)也慢慢地出現(xiàn)了很多新的發(fā)展趨勢(shì)和巨大變化：洗錢者不斷地在搞創(chuàng)新,洗錢的方式變得越來越復(fù)雜和越來越隱蔽；洗錢活動(dòng)正一步一步地向高科技化以及高智能化方向靠攏；另一方面,洗錢活動(dòng)也漸漸地從發(fā)達(dá)國(guó)家向發(fā)展中國(guó)家開始發(fā)生轉(zhuǎn)移,跨國(guó)的洗錢行為已經(jīng)逐漸地成為了現(xiàn)代洗錢活動(dòng)中的一個(gè)重要的特征,它不但嚴(yán)重地影響了全球的經(jīng)濟(jì)金融秩序穩(wěn)定,而且還對(duì)各個(gè)國(guó)家的經(jīng)濟(jì)安全造成了巨大的危害。 香港,這個(gè)作為一個(gè)國(guó)際金融中心的地區(qū),很早便擁有了200多家銀行、保險(xiǎn)和證券機(jī)構(gòu)入駐其中,香港特別行政區(qū)金融業(yè)的發(fā)達(dá)以及各種金融咨詢公司咨詢服務(wù)的廣泛提供以及在香港極其容易獲取空殼公司等都使得香港成為了洗錢者漂白其各種犯罪黑收益的最佳理想場(chǎng)所之一,香港特別行政區(qū)甚至一度被評(píng)為了“洗錢者的天堂”。 截止2011年8月31日香港聯(lián)合交易所掛牌交易的上市公司數(shù)量總數(shù)為1463家(包含主板和創(chuàng)業(yè)板),市價(jià)總值194318億港元。在香港證券市場(chǎng)活躍繁榮的背后,不乏一些洗錢分子利用證券市場(chǎng)的特殊性進(jìn)行洗錢犯罪活動(dòng),本文就通過對(duì)香港地區(qū)證券市場(chǎng)洗錢分子的各種洗錢手段進(jìn)行了研究和分析,歸納為洗錢分子在證券市場(chǎng)上常用的洗錢手法及利用控股上市公司進(jìn)行洗錢手法這兩大類,并介紹了一些反制措施以及對(duì)內(nèi)地證券市場(chǎng)反洗錢監(jiān)管提出了一些建議,對(duì)我國(guó)內(nèi)地金融監(jiān)管機(jī)構(gòu)完善當(dāng)前的反洗錢監(jiān)管政策提供有益的參考,為金融機(jī)構(gòu)開展反洗錢培訓(xùn)、提高反洗錢工作的有效性提供支持,有利于我國(guó)金融行業(yè)秩序健康穩(wěn)定的發(fā)展。
[Abstract]:In recent years, with the continuous strengthening of the world economic trade and the continuous development of economic globalization, money laundering activities have slowly emerged a lot of new development trends and great changes: money launderers are constantly engaged in innovation. Money laundering is becoming more and more complex and covert; Money laundering is moving towards the direction of high technology and high intelligence step by step; On the other hand, money laundering has gradually begun to shift from developed to developing countries. Transnational money laundering has gradually become an important feature of modern money laundering. It not only seriously affects the stability of global economic and financial order, but also causes great harm to the economic security of various countries. Hong Kong, as an international financial centre, has long had more than 200 banks, insurance and securities institutions. The development of the financial industry of the Hong Kong Special Administrative region, the wide availability of advisory services from various financial consulting companies and the extremely easy access to shell companies in Hong Kong have made Hong Kong a money launderer to bleach the proceeds of various crimes. One of the best places to live, At one point, the Hong Kong Special Administrative region was even named the Money-Laundering Paradise. As of August 31, 2011, the total number of listed companies listed on the Stock Exchange of Hong Kong was 1463 (including the main Board and the gem), with a market value of HK $19.4318 trillion. Behind the active and prosperous securities market in Hong Kong, there are some money launderers who make use of the particularity of the securities market to carry out money laundering criminal activities. This paper studies and analyzes various means of money laundering by money launderers in the securities market of Hong Kong. This paper summarizes the money laundering methods commonly used by money launderers in the securities market and the methods of money laundering by holding listed companies, and introduces some counter-measures and puts forward some suggestions on anti-money laundering supervision in the mainland securities market. To provide a useful reference for the mainland financial regulatory bodies to improve the current anti-money laundering regulatory policy, to provide support for financial institutions to carry out anti-money-laundering training and improve the effectiveness of anti-money laundering work. It is conducive to the healthy and stable development of the financial industry in China.
【學(xué)位授予單位】：西南交通大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：F832.51

【參考文獻(xiàn)】

相關(guān)期刊論文 前6條

1 朱孟楠;郭春松;;歐盟金融監(jiān)管合作的經(jīng)驗(yàn)與借鑒[J];發(fā)展研究;2006年07期

2 師永彥;;美國(guó)如何打擊“地下錢莊”[J];金融法苑;2008年03期

3 羅序芳;;電子銀行業(yè)務(wù)中的洗錢與反洗錢[J];金融電子化;2008年12期

4 李文池;孫靜;;證券業(yè)反洗錢監(jiān)管的國(guó)際經(jīng)驗(yàn)與啟示[J];西安財(cái)經(jīng)學(xué)院學(xué)報(bào);2009年01期

5 蔡原江 ,尤嘉林;游走懸崖邊的資本“舞步”——維爾京注冊(cè)投資真相[J];中國(guó)外匯管理;2004年03期

6 李強(qiáng);;英美證券期貨行業(yè)反洗錢制度比較及借鑒[J];證券市場(chǎng)導(dǎo)報(bào);2009年02期

相關(guān)碩士學(xué)位論文 前2條

1 郭小卉;國(guó)外反洗錢的經(jīng)驗(yàn)及其對(duì)我國(guó)的借鑒[D];河北大學(xué);2006年

2 王欣;對(duì)完善我國(guó)反洗錢金融監(jiān)管法律規(guī)制的探討[D];東北財(cái)經(jīng)大學(xué);2007年

，

本文編號(hào)：2306665