摘  要

我国证券市场的显著特征就是新兴加转轨。证券违法违规行为较为猖撅,内幕交易已成为实务与理论界关注的焦点。如何有效地惩罚和防范证券内幕交易已成为我国进一步完善证券市场的一个重大课题。本文以证券内幕交易罪为研究

对象,运用比较研究的方法,拟通过归纳国内外证券内幕交易罪的立法现状,提出并反思我国证券内幕交易罪立法中存在的问题结合我国证券内幕交易罪构成要件的相关法律规定,分析我国证券内幕交易罪构成要件方面存在的不足,并提出相应的完善建议借鉴国外有益的立法经验,结合我国实际情况,对我国证券内幕交易罪的相关问题提出一些完善建议。本文由三部分组成:

第一部分是证券内幕交易问题及其犯罪化。该部分着重分析并厘清了证券、内幕交易、证券内幕交易罪等基本概念,确定本文的研究范围,将本文中的证券

界定为有价证券中的资本证券论述了将证券内幕交易犯罪化的必要性和重要性,归纳了国内外证券内幕交易罪的立法现状,提出并反思我国证券内幕交易罪立法中存在的问题。

第二部分是证券内幕交易罪构成要件分析。该部分结合我国证券内幕交易罪

构成要件的相关法律规定,解析了证券内幕交易罪的四个构成要件犯罪主体、犯罪客体、主观方面、客观方面并剖析了我国证券内幕交易罪构成要件方面存在的不足,提出扩充犯罪主体范围、借鉴“过错推定原则”以解决犯罪主观方面故意犯罪形态认定困难等建议。

第三部分是我国证券内幕交易罪立法存在的问题及其完善。该部分在分析我

国证券内幕交易罪立法中存在的问题基础上,借鉴国外有益的立法经验,结合我国实际情况,对我国证券内幕交易罪的立法模式、罪名和刑事责任三方面提出一

些完善建议,如刑法典模式与附属刑法形式相结合、将泄露内幕信息的行为作为

内幕交易罪在客观方面的表现之一、增设禁止从业资格刑罚以及采用罚金刑等。

本文的创新之处在于在总结前人研究成果的基础上,对证券内幕交易罪的相关概念、构成要件和立法完善做进一步的理论探究。运用比较研究的方法探析我国证券内幕交易罪立法存在的问题并提出一些完善我国证券内幕交易罪的建议。

关键词:内幕信息 内幕交易 证券内幕交易罪

 

 

 

 

 

Abstract

The prominent feature of China’s securities market is the emerging and transition. Illegal securities behavior is rampant, insider trading has become a focus of attention in practice and theory. How to effectively punish and prevent insider trading has become a major issue in our country to improve the securities market. In this paper, the crime of insider trading Object, by using the method of comparative study, intends to problems existing in the legislation of crime of insider trading in China by summarizing the present situation at home and abroad of the crime of securities insider trading legislation, put forward the reflection and combination of Securities Insider Trading Crime in our country constitution of relevant laws and regulations, analysis of the crime of insider trading of China constitute elements, and put forward some proposals to improve the foreign useful legislative experience for reference, combined with the actual situation in our country, the crime of insider trading of China related problems and put forward some suggestions to perfect. This paper consists of three parts.

The first part is the problem of insider trading and its criminal. This section focuses on the analysis of the securities, insider trading, insider trading and other basic concepts, to determine the scope of this study, the securities in this paper.Defined as have capital securities in the securities discussed the necessity and importance of insider trading crime, summarizes the legislative status at home and abroad of the crime of securities insider trading, problems existing in the present and Reflection on China’s insider trading crime legislation.

The second part is the analysis of the constitutive elements of the crime of insider trading. This part combined with the crime of insider trading in our countrySecurities Insider Trading Crime constitutive requirements of relevant laws and regulations, analysis of the four constitutive elements of crime subject, object of crime, subjective aspect and objective aspect and analyzes the crime of insider trading of China constitute elements of the existing deficiencies, proposed expansion of the scope of subject of crime, by learning “the presumption of fault principle” to solve the crime subjective aspect of the crime of intentional crime identified difficulties and so on.

The third part is the legislation of the crime of insider trading in our country and its improvement. This part is analyzing meCrime of insider trading in Chinese securities legislation in the presence of basis, draw lessons from beneficial foreign legislative experience, combined with the actual situation in our country, the legislative model of Securities Insider Trading Crime in our country, crime and criminal responsibility of a Some suggestions, such as the combination of criminal code mode and the form of affiliated criminal law, will reveal the behavior of insider information as a One of the objective aspects of the crime of insider trading, the addition of the prohibition of the qualification penalty as well as the use of fine penalty. The innovation of this paper is to summarize the results of previous studies on the basis of the crime of insider trading related concepts, elements and legislative perfection to do further theoretical research. Using the method of comparative study to probe into the legislation of the crime of insider trading in China and put forward some suggestions to improve the crime of insider trading in china.

Keywords: Insider information  Insider trading  Securities insider trading crime

 

 

目录

1绪论…………………………………………………….. 5

1.1研究的背景………………………………………….. 5

1.2 国内外文献综述………………………………………. 5

1.3研究内容及结构框架…………………………………… 6

1.4研究思路和方法………………………………………. 6

2我国证券市场内幕交易的相关概念……………………………… 7

2.1证券市场内幕交易的概念……………………………….. 7

2.2证券市场内幕交易的特征及类别………………………….. 7

2.3证券市场内幕交易发生具备的条件………………………… 8

2.3.1内幕人员的定义及各国立法分类……………………… 8

2.3.2内幕信息的概念和特征…………………………….. 8

2.4证券市场内幕交易的基本理论……………………………. 9

3我国证券市场内幕交易现状及问题分析…………………………. 11

3.1我国证券市场内幕交易发展的历史及现状………………….. 11

3.2我国证券市场内幕交易存在的具体问题分析………………… 11

3.2.1我国内幕交易监管的宏观环境不理想…………………. 13

3.2.2信用基础薄弱…………………………………… 13

3.2.3内幕交易行为查处困难……………………………. 13

4 我国证券市场内幕交易存在因素及实证分析…………………….. 15

4.1我国证券市场内幕交易存在的内在因素分析………………… 15

4.1.1内幕交易违法行为的现实社会基础…………………… 15

4.1.2内幕交易违法行为的制度根源………………………. 15

4.2我国证券市场内幕交易存在的外在因素分析………………… 15

4.3影响我国证券市场内幕交易的实证分析……………………. 16

5解决我国证券市场内幕交易的对策建议…………………………. 17

5.1规范上市公司并购重组及政府本身的信息披露………………. 17

5.2加强我国证券市场的信用基础的建设……………………… 17

5.3充分利用各种社会资源打击内幕交易……………………… 17

6结论与展望………………………………………………. 19

参考文献…………………………………………………. 20

致 谢……………………………………………………. 21

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