本文關(guān)鍵詞：證券內(nèi)幕交易的法律規(guī)制研究　出處：《大連理工大學》2014年碩士論文　論文類型：學位論文

  更多相關(guān)文章： 內(nèi)幕交易規(guī)制 內(nèi)幕交易監(jiān)管 法律制定和完善

【摘要】：在司法實踐中,證券內(nèi)幕交易的案件屢見報端。這存在一系列的原因,包括：缺乏專門性的法律規(guī)制,行政執(zhí)法手段有限,內(nèi)幕交易認定標準不明確,法律不夠完善,具體表現(xiàn)在缺乏對內(nèi)幕交易民事責任的系統(tǒng)性規(guī)定,行政處罰的數(shù)額較低,刑事處罰的量刑較輕,對于內(nèi)幕交易的處罰的規(guī)定不夠合理,行政執(zhí)法體制的缺陷也影響了執(zhí)法效率等。為了更好地維護證券市場的交易秩序,雖然我國《證券法》對禁止證券內(nèi)幕交易以及其相關(guān)行為作出了擴大化的規(guī)定,但是制度性規(guī)范作用尚未切中要害,法律法規(guī)也并不夠完善,與此同時也缺乏持續(xù)有效監(jiān)督管理,這些都助長了整個證券市場追逐內(nèi)幕信息的投機情緒和法不責眾的僥幸心理,使得證券市場內(nèi)幕交易的現(xiàn)狀十分猖獗。 針對我國內(nèi)幕交易存在的現(xiàn)狀,本文研究的重點在于針對我國內(nèi)幕交易法律規(guī)制中存在的問題進行分析,通過文獻研究法、比較借鑒法以及案例研究法,結(jié)合國外先進完備的法律規(guī)定來對我國內(nèi)幕交易法律規(guī)制提出具體建議。 本文通過五部分對證券內(nèi)幕交易的法律規(guī)制進行論述。第一部分,作為緒論對國內(nèi)外文獻進行綜述,并且介紹了文章采用的主要研究方法；第二部分,有關(guān)證券內(nèi)幕交易的概述,包括內(nèi)幕交易的相關(guān)概念以及內(nèi)幕交易行為的表現(xiàn)形式；第三部分,從大陸法系和英美法系兩個法系的代表國家來介紹國外證券市場內(nèi)幕交易法律規(guī)制的現(xiàn)狀,并說明我國證券內(nèi)幕交易法律規(guī)制可以從中進行的借鑒；第四部分,對我國證券內(nèi)幕交易的現(xiàn)狀以及存在的問題進行闡述；第五部分,從加大違法者的責任承擔力度和完善我國外部環(huán)境出發(fā),針對我國證券內(nèi)幕交易法律規(guī)制提出具體可行的建議。
[Abstract]:In judicial practice, the cases of securities insider trading are frequently reported. There are a series of reasons, including: lack of specialized legal regulation, limited administrative law enforcement means, the identification of insider trading standards are not clear. The law is not perfect, the concrete performance is the lack of systematic regulation on civil liability of insider trading, the low amount of administrative punishment, the lighter penalty of criminal punishment, and the unreasonable provisions of punishment for insider trading. The defects of the administrative law enforcement system also affect the efficiency of law enforcement. In order to better maintain the order of trading in the securities market. Although the Securities Law of our country has made the provisions on the prohibition of insider trading of securities and its related behavior, but the role of institutional norms has not yet reached the point, and the laws and regulations are not perfect enough. At the same time, there is also a lack of continuous and effective supervision and management, which encourages the entire securities market to pursue the speculative sentiment of insider information and the lucky psychology of the public, which makes the current situation of insider trading in the securities market very rampant. In view of the existing situation of insider trading in China, the focus of this study is to analyze the existing problems in the legal regulation of insider trading in China, through the literature research method, comparative reference method and case study method. Combined with foreign advanced and complete laws and regulations to put forward specific suggestions on the legal regulation of insider trading in China. This paper discusses the legal regulation of securities insider trading through five parts. The first part, as an introduction to the literature at home and abroad, and introduced the main research methods used in the article; The second part, the overview of the securities insider trading, including the related concepts of insider trading and the expression of insider trading behavior; The third part, from the continental law system and the Anglo-American legal system of the representative countries to introduce the current situation of the foreign securities market insider trading legal regulation, and explain the legal regulation of securities insider trading in China can be used for reference; In the 4th part, the present situation and existing problems of insider trading of securities in China are expounded. In the 5th part, from the view of increasing the liability of violators and perfecting the external environment of our country, the author puts forward some concrete and feasible suggestions for the legal regulation of securities insider trading in China.
【學位授予單位】：大連理工大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：D922.287

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