本文關(guān)鍵詞：我國證券市場內(nèi)幕交易防控研究　出處：《渤海大學(xué)》2017年碩士論文　論文類型：學(xué)位論文

  更多相關(guān)文章： 內(nèi)幕交易 成因 監(jiān)管

【摘要】：證券市場是一種資金使用權(quán)交易的高等級(jí)場所,他滿足于市場經(jīng)濟(jì)所具有的開放性、平等性、競爭性和法制性的特征。我國證券市場伴隨著我國市場經(jīng)濟(jì)的發(fā)展而誕生,起步于改革開放初期,約在90年代因改革開放的進(jìn)一步深化而進(jìn)入快速發(fā)展的階段。相較于西方資本主義國家在證券市場制度建設(shè)方面豐富的經(jīng)驗(yàn),我國雖然自證券市場建立以來,相關(guān)部門就起草出臺(tái)了一系列關(guān)于規(guī)范證券市場的法律法規(guī),并為此建立了嚴(yán)格的監(jiān)管體系和懲罰制度,但是因?yàn)橘Y本市場其本身快速更新的特點(diǎn),使得以往各種關(guān)于證券市場的規(guī)范制度依然不能滿足于現(xiàn)有經(jīng)濟(jì)發(fā)展在理論和實(shí)踐方面的需求。內(nèi)幕交易行為是資本市場最為普遍的頑疾。近年來,我國與世界經(jīng)濟(jì)的接軌,對(duì)資本市場的控制逐漸放寬,走向世界,使得對(duì)內(nèi)幕交易危害的認(rèn)知也在不斷加深。打擊違反市場機(jī)制的內(nèi)幕交易行為,對(duì)證券市場中存在的內(nèi)幕交易隱患,以規(guī)范法律制度為前提、以防控和化解風(fēng)險(xiǎn)為手段、以建立健康平穩(wěn)運(yùn)行的市場為目的,防微杜漸,保護(hù)廣大中小投資者的正當(dāng)權(quán)益,保證我國市場經(jīng)濟(jì)的長足發(fā)展。論文以案例分析的方式探討我國證券市場現(xiàn)存內(nèi)幕交易問題,通過對(duì)益盛藥業(yè)這一案例進(jìn)行研究分析,從法學(xué)的相關(guān)角度入手,對(duì)于因公司管理模式、信息披露以及法律制度等緣由引發(fā)的內(nèi)幕交易行為研究探討,進(jìn)而得出應(yīng)對(duì)結(jié)論。以便為我國證券市場在內(nèi)幕交易行為的監(jiān)督、管理和防控方面提供切實(shí)有效的解決方案。
[Abstract]:The securities market is a financial transaction of the right to use the high grade place, he has to meet the requirements of openness, equality of the market economy, competition characteristics and legal system of the securities market in China. With the development of market economy in China and was started in the early stage of reform and opening up, about in 90s for further deepening the reform open and enter the stage of rapid development. Compared to the western capitalist countries in the securities market system construction experience in our country, although the establishment of securities market since the drafting of relevant departments issued a series of norms on securities market laws and regulations, and established a strict supervision system and punishment system, but because the characteristics of the capital market itself fast update, which makes about securities market regulation system is still unable to meet the current economic development in the aspects of theory and practice to For insider trading is the most common problem for the capital market. In recent years, China and the world economy, control of the capital market gradually relaxed, to the world, the harm of insider trading cognition is also deepening. Against the market mechanism for insider trading in the securities market, the existence of insider trading risks, to regulate the legal system as the premise, to prevent and defuse the risks as a means to establish a healthy and stable operation of the market for the purpose of protecting the legitimate rights and interests of the majority, check erroneous ideas at the outset, the medium and small investors, to ensure the rapid development of market economy in our country. The thesis is a case study on existing problems of securities market insider trading in China. Through the analysis of the case of Yi Sheng pharmaceutical, start from the angle of law, for company management, information disclosure and legal system and other reasons caused by the insider Then we will discuss the conclusion of the transaction so as to provide effective solutions for the supervision, management and prevention and control of insider trading in China's securities market.

【學(xué)位授予單位】：渤海大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2017
【分類號(hào)】：F832.51

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本文編號(hào)：1409952