【摘要】： 我國證券市場上大約80%的違法案件與內(nèi)幕交易有關,大約80%的違法交易金額與內(nèi)幕交易案件有關，所以，只要證券市場存在，只要證券交易存在，內(nèi)幕交易違法犯罪行為就是一個永恒的話題。不可否認，在證券市場產(chǎn)生以來，實務界孜孜以求，學術界鍥而不舍，在內(nèi)幕交易及其法律規(guī)制方面，我們已經(jīng)取得了令人矚目的成就；但是，也不可否認，由于我們國家證券市場發(fā)展時間短，內(nèi)幕交易違法犯罪在我國還是一個新型的犯罪，有關內(nèi)幕交易違法犯罪的理論研究，還比較稚嫩。雖然近年來對這一違法犯罪行為研究的論文日益增多，但大都是從刑法學的角度的出發(fā)，著重研究內(nèi)幕交易違法犯罪的構成要件，而從犯罪學的角度去研究，沒有任何這方面的專門論著，更鮮見有專門的研究內(nèi)幕交易犯罪的論文出現(xiàn)。本文試著從犯罪學的角度，依據(jù)中國現(xiàn)有的經(jīng)濟格局，分析內(nèi)幕交易在我國的產(chǎn)生發(fā)展的體制性及社會性原因，提出自己對防治內(nèi)幕交易犯罪的一孔之見。 本文共分四部分，第一部分是對內(nèi)幕交易本質(zhì)之分析，首先是對內(nèi)幕交易的歷史發(fā)展描述以及對內(nèi)幕交易核心概念的界定。然后是綜合評價了有關禁止內(nèi)幕交易的各種學說，分析了內(nèi)幕交易內(nèi)在運作的機理及對內(nèi)幕交易性質(zhì)的客觀描述。第二部分是對我國內(nèi)幕交易違法犯罪的現(xiàn)狀和特點進行分析，通過對我國證監(jiān)會處罰的9起內(nèi)幕交易案件的分析，總結出我國內(nèi)幕交易犯罪不同于國外內(nèi)幕交易違法犯罪的自己獨有的特征。第三部分是本文的重點，是對我國內(nèi)幕交易違法犯罪的原因特點的分析，從國家經(jīng)濟體制及社會文化層面上的影響及內(nèi)幕交易相關法律政策制度因素兩方面詳細分析了形成我國內(nèi)幕交易違法犯罪的原因，，并指出體制性因素是構成我們國家內(nèi)幕交易違法犯罪的特有原因。第四部分是內(nèi)幕交易違法犯罪行為的防治策略。從內(nèi)在規(guī)制和外在懲罰兩個方面來闡述對內(nèi)幕交易犯罪的預防體系，內(nèi)在調(diào)整完善也即微觀的自我調(diào)整，包括上市公司本體的規(guī)制及相關制度的完善；外在懲罰是我國相關的法律對內(nèi)幕交易處罰更進一步的加強。
[Abstract]:About 80% of the illegal cases in China's securities market are related to insider trading, and about 80% of the illegal transactions amount is related to insider trading cases. Therefore, as long as the securities market exists, as long as securities trading exists, The crime of insider trading is an eternal topic. There is no denying that since the emergence of the securities market, the practical circles have been assiduously seeking, the academic circles have persevered, and we have made remarkable achievements in insider trading and its legal regulation. However, there is no denying that because of the short development time of our country's securities market, the illegal crime of insider trading is still a new type of crime in our country, and the theoretical research on the illegal crime of insider trading is still relatively immature. Although there are more and more papers on this illegal and criminal act in recent years, most of them are from the angle of criminal law, focusing on the constitutive elements of the illegal crime of insider trading, and studying from the angle of criminology. There is no special treatise on this, and there are few papers devoted to insider trading crime. This paper tries to analyze the institutional and social reasons for the emergence and development of insider trading in China from the perspective of criminology and according to the existing economic pattern of China, and puts forward its own views on preventing and controlling insider trading crimes. This paper is divided into four parts. The first part is the analysis of the nature of insider trading, first of all, the historical development of insider trading and the definition of the core concept of insider trading. Then it synthetically evaluates various theories about the prohibition of insider trading, analyzes the mechanism of internal operation of insider trading and the objective description of the nature of insider trading. The second part is to analyze the current situation and characteristics of the crime of insider trading in China, through the analysis of 9 cases of insider trading punished by China Securities Regulatory Commission. Summarize our country insider trading crime is different from the foreign insider trading illegal crime own unique characteristic. The third part is the focus of this paper, which is the analysis of the characteristics of the causes of the crime of insider trading in China. From the aspects of the national economic system and the social and cultural aspects, and the factors of the insider trading related law and policy system, this paper analyzes in detail the reasons for the formation of the illegal crime of insider trading in our country. It also points out that institutional factors are the unique reasons for the crime of insider trading in our country. The fourth part is the prevention and cure strategy of the crime of insider trading. From the two aspects of internal regulation and external punishment to explain the prevention system of insider trading crime, internal adjustment and perfection, that is, micro-self-adjustment, including the regulation of listed companies and the improvement of related systems; External punishment is the further strengthening of insider trading punishment in the relevant laws of our country.
【學位授予單位】：中國政法大學
【學位級別】：碩士
【學位授予年份】：2003
【分類號】：D917

【引證文獻】

相關期刊論文 前1條

1 李燕;張衛(wèi)國;;論我國證券內(nèi)幕交易行為的有效防范[J];柴達木開發(fā)研究;2011年01期

本文編號：2315594