本文選題：老鼠倉 + 基金��； 參考：《復(fù)旦大學(xué)》2014年碩士論文

【摘要】：“老鼠倉”行為本質(zhì)上是一種利益輸送行為,是對(duì)于信賴義務(wù)的違反,在基金從業(yè)人員與基金份額持有人利益沖突中產(chǎn)生。近年來,中國證監(jiān)會(huì)不斷加大對(duì)“老鼠倉”的打擊力度,直至《刑法修正案(七)》將“利用未公開信息交易罪”列入刑法的規(guī)制范圍,對(duì)“老鼠倉”行為進(jìn)行了最嚴(yán)格的處罰。隨著新《基金法》的實(shí)施,我們應(yīng)當(dāng)看到其對(duì)基金從業(yè)人員在證券投資方面放開,轉(zhuǎn)而針對(duì)基金管理公司加強(qiáng)內(nèi)部制度建設(shè)的進(jìn)步,這與境外發(fā)達(dá)國家的許多做法類似,但是我們必須注意目前我國對(duì)“老鼠倉”行為法律規(guī)制的缺陷。筆者通過對(duì)我國現(xiàn)有法律制度的分析,指出目前存在的問題,結(jié)合其他國家和地區(qū)的立法例,提出完善我國“老鼠倉”行為法律規(guī)制的建議。本文共分五章。第一章對(duì)“老鼠倉”行為的概念進(jìn)行本文的界定,闡述了具體的構(gòu)成要件和表現(xiàn)形式,分析了在我國法律框架下與內(nèi)幕交易行為的區(qū)別,進(jìn)而提出規(guī)制“老鼠倉”行為的必要性。第二章以表格的形式總結(jié)了截至目前為止我國“老鼠倉”處罰案例的具體情況及該違法行為的最新特點(diǎn)。第三章筆者對(duì)目前規(guī)制“老鼠倉”的法律法規(guī)進(jìn)行了全面梳理,指出了在《證券法》、《基金法》、《刑法》等法律規(guī)范中的不足與漏洞以及目前就“老鼠倉”行為提出民事賠償?shù)睦щy。第四章著重介紹了其他國家和地區(qū)對(duì)“老鼠倉”行為的法律規(guī)制體系,包括美國、英國及香港地區(qū)的法律法規(guī),總結(jié)出我國法律中可以借鑒的地方。第五章對(duì)完善我國證券投資基金業(yè)“老鼠倉”行為法律規(guī)制機(jī)制提出建議,包括完善目前有關(guān)“老鼠倉”行為的立法,加強(qiáng)基金公司內(nèi)部治理規(guī)范,完善我國相關(guān)責(zé)任追究機(jī)制,并且,著重加強(qiáng)行業(yè)自律管理等。
[Abstract]:The behavior of "mouse storehouse" is essentially a kind of benefit conveying behavior, which is a breach of trust obligation, which arises from the conflict of interests between fund practitioners and fund share holders. In recent years, CSRC has continuously intensified its crackdown on "rat storehouse" until the Criminal Law Amendment (7) included "the crime of using unpublished information transaction" in the scope of the criminal law, and imposed the strictest punishment on the "mouse storehouse" behavior. With the implementation of the new fund law, we should see that it has liberalized its portfolio investment for fund practitioners and turned to the progress of strengthening the internal system construction of fund management companies, which is similar to many practices in overseas developed countries. However, we must pay attention to the defects of our country's legal regulation of "mouse storehouse" at present. Based on the analysis of the existing legal system in China, the author points out the existing problems and puts forward some suggestions on how to perfect the legal regulation of the "rat storehouse" behavior in China by combining the legislative examples of other countries and regions. This paper is divided into five chapters. The first chapter defines the concept of "rat storehouse" in this paper, expounds the specific elements and forms of expression, and analyzes the differences between insider trading and insider trading under the legal framework of our country. Furthermore, the necessity of regulating the behavior of "rat storehouse" is put forward. The second chapter summarizes the specific situation and the latest characteristics of the illegal behavior in the case of "rat bin" in China so far in the form of a table. In the third chapter, the author makes a comprehensive analysis of the current laws and regulations governing the "mouse storehouse". The shortcomings and loopholes in the legal norms such as Securities Law, Fund Law and Criminal Law are pointed out, and the difficulties of putting forward civil compensation for "rat storehouse" at present are also pointed out. The fourth chapter mainly introduces the legal system of other countries and regions, including the laws and regulations of the United States, Britain and Hong Kong, and summarizes the areas that can be used for reference in our country's laws. The fifth chapter puts forward some suggestions on how to perfect the legal regulation mechanism of "mouse warehouse" behavior in China's securities investment fund industry, including perfecting the current legislation on "mouse warehouse" behavior and strengthening the internal governance norms of fund companies. Improve China's related accountability mechanism, and focus on strengthening industry self-regulation and so on.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：F832.51

【相似文獻(xiàn)】

相關(guān)期刊論文 前10條

1 張浩;;基金“老鼠倉”的法律思考[J];市場(chǎng)周刊(理論研究);2009年08期

2 羋鑫;;“老鼠倉”行為的法律規(guī)制[J];法制與社會(huì);2012年29期

3 啟明;;基金二字誤招商 招商基金老鼠倉拖累招商系品牌[J];股市動(dòng)態(tài)分析;2013年37期

4 皮海洲;;“老鼠倉”事件三大懸念[J];中國經(jīng)濟(jì)信息;2007年11期

5 殷潔;;論基金“老鼠倉”的防治[J];金融與經(jīng)濟(jì);2007年11期

6 任蔚然;施斯;;論法律規(guī)制與監(jiān)管對(duì)基金市場(chǎng)的作用與價(jià)值——由“老鼠倉”引發(fā)的關(guān)于基金從業(yè)人員行為規(guī)范的思考[J];華商;2007年23期

7 馬建威;杜世勇;;“老鼠倉”:高懸地上的“黃河”[J];財(cái)務(wù)與會(huì)計(jì);2008年20期

8 周劍風(fēng);;基金“老鼠倉”的成因與防治[J];西南金融;2008年11期

9 王靜雅;孫清芬;畢京燕;;基金“老鼠倉”引發(fā)的淺思[J];時(shí)代經(jīng)貿(mào)(中旬刊);2008年S4期

10 陳飛燕;;“老鼠倉”事件簡要論述[J];合作經(jīng)濟(jì)與科技;2008年14期

相關(guān)重要報(bào)紙文章 前10條

1 尤旭東;基金“老鼠倉”可以剿滅嗎[N];證券時(shí)報(bào);2007年

2 本報(bào)評(píng)論員 唐學(xué)鵬;應(yīng)用重典懲治“老鼠倉”[N];21世紀(jì)經(jīng)濟(jì)報(bào)道;2009年

3 蔣悅音;從三方面著手嚴(yán)打“老鼠倉”[N];中國證券報(bào);2009年

4 山東高校教師 李允峰;懲戒“老鼠倉” 現(xiàn)有法律太不給力[N];上海證券報(bào);2012年

5 本報(bào)記者 張莉;深圳證監(jiān)局：“老鼠倉”頻曝光是嚴(yán)打結(jié)果[N];中國證券報(bào);2013年

6 本報(bào)記者 陳雪芹;“老鼠倉”頻現(xiàn) 規(guī)范交易期待“治鼠”利器[N];中國改革報(bào);2013年

7 記者 田享華;基金“老鼠倉”頑疾亟待制度補(bǔ)漏[N];第一財(cái)經(jīng)日?qǐng)?bào);2013年

8 記者 丁寧;李旭利“老鼠倉”持續(xù)了多久[N];上海證券報(bào);2013年

9 張煒;“最賺錢老鼠倉”案應(yīng)引以為戒[N];中國經(jīng)濟(jì)時(shí)報(bào);2014年

10 張金高;“老鼠倉”的禍與惑[N];21世紀(jì)經(jīng)濟(jì)報(bào)道;2014年

相關(guān)博士學(xué)位論文 前1條

1 周仁才;考慮“老鼠倉”情況下的資產(chǎn)定價(jià)研究[D];上海交通大學(xué);2009年

相關(guān)碩士學(xué)位論文 前10條

1 李曉東;基于博弈論的“老鼠倉”行為監(jiān)管研究[D];復(fù)旦大學(xué);2014年

2 盛璐t，

本文編號(hào)：2024805