【摘要】： 證券至今有一百多年的歷史了，隨著其的誕生，褒者有之，貶者有之，但不論人們的觀點(diǎn)怎么樣，證券都影響著社會(huì)的經(jīng)濟(jì)發(fā)展，或促進(jìn)、或阻礙。其實(shí)證券所起的作用并不在其本身，而在其之外，在于對(duì)之進(jìn)行運(yùn)用的人，在于其所處于的整個(gè)社會(huì)環(huán)境。所以對(duì)證券犯罪還有必要進(jìn)行研究、探討。 本文的正文共有七個(gè)部分，除了導(dǎo)言和結(jié)語(yǔ)外，正文有五個(gè)部分，分別是：第二部分“證券及證券犯罪”、第三部分“證券犯罪產(chǎn)生的背景分析”、第四部分“證券犯罪的特征”、第五部分“對(duì)中國(guó)證券犯罪的實(shí)證分析”、第六部分“證券犯罪的原因分析及預(yù)防對(duì)策”。 第二部分“證券及證券犯罪”主要述明了證券的定義，包括證券得一般定義和我國(guó)刑法里的所指的證券的范圍和本文所論及的證券的主要指向。除此之外，該部分還對(duì)證券犯罪的問(wèn)題進(jìn)行了說(shuō)明，包括證券犯罪的最一般的歷史及歷史上針對(duì)證券犯罪的相關(guān)立法。 第三部分“證券犯罪產(chǎn)生的背景分析”主要從市場(chǎng)經(jīng)濟(jì)于證券的關(guān)系、證券市場(chǎng)在中國(guó)兩個(gè)方面說(shuō)起，說(shuō)明了證券犯罪和合法的證券行為一樣，都是以證券市場(chǎng)秩序?yàn)榛A(chǔ)，產(chǎn)生于證券市場(chǎng)秩序之下，證券市場(chǎng)是合法的證券行為與證券犯罪來(lái)源地，沒(méi)有證券市場(chǎng)，合法的證券行為與證券犯罪也將不復(fù)存在。并對(duì)中國(guó)的有關(guān)情況進(jìn)行了說(shuō)明。 第四部分“證券犯罪的特征”包括三個(gè)大的方面，從證券犯罪的本質(zhì)特點(diǎn)、形式特點(diǎn)和證券犯罪的法律特征三個(gè)方面，論述了證券犯罪與其它類別的犯罪的不同之處。為以下對(duì)證券犯罪的原因和對(duì)策的論述打下基礎(chǔ)。 第五部分“對(duì)中國(guó)證券犯罪的實(shí)證分析”，從證監(jiān)會(huì)1994年至2004年間公布的所有處罰公告著手，運(yùn)用數(shù)據(jù)和圖例，以實(shí)證的方法，對(duì)中國(guó)證券市場(chǎng)上的證券犯罪情況進(jìn)行了說(shuō)明。并同時(shí)對(duì)幾種發(fā)現(xiàn)的現(xiàn)象進(jìn)行了說(shuō)明。 對(duì)證券犯罪的研究的主要目的之一是分析證券犯罪產(chǎn)生的原因，并進(jìn)而對(duì)證券犯罪的預(yù)防提出意見(jiàn)，這也是本文的主要目的。緣于此，基于前面各部分的分析和論述，第六部分“證券犯罪的原因分析及預(yù)防對(duì)策”從犯罪學(xué)的角度，從證券犯罪產(chǎn)生的社會(huì)原因和個(gè)體原因兩個(gè)方面，對(duì)證券犯罪的產(chǎn)生原因進(jìn)行了分析，并基于此，根據(jù)中國(guó)的實(shí)際情況，提出了預(yù)防對(duì)策。
[Abstract]:Securities has a history of more than one hundred years. With its birth, there are praises and derogators, but no matter what people's views are, securities affect the economic development of society, or promote, or hinder. In fact, the role of securities is not in itself, but in addition to it, the people who use them lie in the whole social environment in which they are in. Therefore, it is necessary to study and discuss the securities crime. There are seven parts in the main body of this paper. In addition to the introduction and conclusion, the main body has five parts, namely: the second part "Securities and securities crime", the third part "the background analysis of securities crime", the fourth part "the characteristics of securities crime", the fifth part "empirical analysis of China's securities crime", the sixth part "the cause analysis and preventive countermeasures of securities crime". The second part, "Securities and Securities Crime", mainly states the definition of securities, including the general definition of securities acquisition, the scope of securities referred to in the criminal law of our country and the main direction of securities discussed in this paper. In addition, this part also explains the problem of securities crime, including the most general history of securities crime and the relevant legislation against securities crime in history. The third part, "the background analysis of the emergence of securities crime", mainly from the relationship between market economy and securities, the securities market in China, the securities market is the same as the legitimate securities behavior, are based on the order of the securities market, arising from the order of the securities market, the securities market is the source of legitimate securities behavior and securities crime, there is no securities market. Legal securities behavior and securities crime will no longer exist. And the relevant situation in China is explained. The fourth part, "the characteristics of securities crime", including three major aspects, discusses the differences between securities crime and other types of crime from three aspects: the essential characteristics of securities crime, the characteristics of form and the legal characteristics of securities crime. It lays a foundation for the following discussion of the causes and countermeasures of securities crime. The fifth part, "empirical analysis of securities crime in China", starts with all the penalty announcements issued by CSRC from 1994 to 2004, and explains the situation of securities crime in China's securities market by using data and legend. At the same time, several phenomena found are explained. One of the main purposes of the study of securities crime is to analyze the causes of securities crime and then put forward some suggestions on the prevention of securities crime, which is also the main purpose of this paper. Therefore, based on the analysis and discussion of the previous parts, the sixth part, the cause Analysis and Preventive Countermeasures of Securities Crime, analyzes the causes of securities crime from the perspective of Criminology, from two aspects: the social and individual causes of securities crime, and based on this, according to the actual situation in China, puts forward the preventive countermeasures.
【學(xué)位授予單位】：中國(guó)政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2004
【分類號(hào)】：D917

【引證文獻(xiàn)】

相關(guān)碩士學(xué)位論文 前1條

1 李關(guān)賀;我國(guó)證券違法犯罪相關(guān)問(wèn)題研究[D];天津大學(xué);2007年

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本文編號(hào)：2509412