本文選題：證券 + 內(nèi)幕交易��； 參考：《內(nèi)蒙古大學(xué)》2013年碩士論文

【摘要】：本文從證券市場內(nèi)幕交易行為的概念、特征、基本構(gòu)成、以及證券市場的形成發(fā)展過程出發(fā),通過分析我國對內(nèi)幕交易行為的立法和執(zhí)法現(xiàn)狀,發(fā)現(xiàn)對于打擊內(nèi)幕交易行為我國的立法具有明顯的缺陷,與內(nèi)幕交易有關(guān)的民事賠償立法基本處于空白狀態(tài)；對內(nèi)幕交易行為的行政執(zhí)法不盡如人意,存在效率低下,執(zhí)法不嚴(yán),證券監(jiān)管部門缺乏社會公信力等問題；對內(nèi)幕交易的刑事立法更是缺乏威懾力,起不到預(yù)防和打擊內(nèi)幕交易犯罪的效果。對比我國和美國以及我國香港特別行政區(qū)對內(nèi)幕交易行為的立法和執(zhí)法情況,分析其中的不同后發(fā)現(xiàn),我國在證券市場監(jiān)管和打擊內(nèi)幕交易等證券違法行為方面還存在很大的差距,需要不斷的進(jìn)行改進(jìn),建議我國建立一種以政府監(jiān)管部門為主導(dǎo),行業(yè)自律組織充分發(fā)揮作用的自律體系,并建立行政執(zhí)法、民事賠償和刑事制裁相結(jié)合的監(jiān)管機(jī)制。通過巨大的違法成本和嚴(yán)厲的刑事制裁措施,形成強(qiáng)大的威懾力,將內(nèi)幕交易行為消滅在預(yù)備階段。
[Abstract]:Starting from the concept, characteristics, basic constitution of insider trading in the securities market and the formation and development of the securities market, this paper analyzes the current situation of legislation and enforcement of insider trading in China. It is found that the legislation against insider trading has obvious defects, the civil compensation legislation related to insider trading is basically blank, the administrative law enforcement of insider trading is not satisfactory, and the efficiency is low. The enforcement of the law is lax, the securities supervision department lacks the social credibility and so on, and the criminal legislation on insider trading is even less deterrent, which can not prevent and crack down on the crime of insider trading. By comparing the legislation and enforcement of insider trading between China, the United States and the Hong Kong Special Administrative region, we find that after analyzing the differences, In China, there is still a big gap in the regulation of the securities market and cracking down on illegal acts of securities such as insider trading, which need to be continuously improved. It is suggested that China should establish a kind of government supervision department as the leading authority. Self-discipline organizations play a full role in the self-regulation system, and establish the administrative law enforcement, civil compensation and criminal sanctions of the combination of regulatory mechanisms. Through the huge illegal cost and the severe criminal sanction measure, forms the formidable deterrent, will eliminate the insider trading behavior in the preparatory stage.
【學(xué)位授予單位】：內(nèi)蒙古大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2013
【分類號】：D922.287

【引證文獻(xiàn)】

相關(guān)碩士學(xué)位論文 前1條

1 張超;中國證券市場內(nèi)幕交易：特征分析與案例研究[D];廈門大學(xué);2014年

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本文編號：1853346