操纵证券交易价格罪研究

发布时间：2018-03-02 08:45

本文关键词： 操纵价格证券交易犯罪构成　出处：《中国政法大学》2006年硕士论文　论文类型：学位论文

【摘要】：操纵证券交易价格罪是一种严重的金融犯罪。操纵行为人利用其资金优势或信息优势影响证券市场价格,诱导投资者参与证券交易,从而获取不正当利益或者转嫁风险。操纵证券交易价格行为人为地扭曲了证券市场的价格形成机制,扰乱了证券交易秩序,严重危害了证券市场的正常运行。我国证券市场建立不久,大量操纵市场事件迭出不穷,跟庄之风甚嚣尘上,严重侵害了证券市场交易秩序和投资者权益。因此,本文以操纵证券交易价格罪为研究对象,力图在阐明所涉基本概念,在对操纵证券交易价格罪犯罪构成进行深入分析的前提下,采用案例分析的方法,对“中科创业”案进行分析,对其中若干争议问题进行探讨,使刑法理论直面司法实践,最后针对本罪提出立法建议和监管对策。具体而言,本文分为四部分:第一章:“操纵证券交易价格罪的历史沿革及立法现状”。主要阐述了操纵证券交易价格罪的发展历史,并对美国、日本和我国台湾、香港和大陆的立法现状进行了介绍。第二章:“操纵证券交易价格罪的构成”。在对操纵证券交易价格罪的概念进行界定的基础上,论述本罪的构成要件,该章的重点主要是理论界争议较大的“犯罪客体”、“犯罪主观方面”。第三章:“操纵证券交易价格罪的案例分析——解读‘中科创业'案”。本章采用案例分析的方法区分本罪和正当投机行为的界限,对情节严重的认定、单位犯罪问题、主观故意的证明、共同犯罪问题进行了探讨,最后对本罪与内幕交易、泄露内幕信息罪、编造并传播证券交易虚假信息罪以及诱骗投资者买卖证券罪进行了区分。第四章:“操纵证券交易价格罪的立法完善及监管对策”。主要从操纵证券交易价格行为的犯罪化和预防遏制犯罪的角度,不揣冒昧地提出了一些立法建议和监管对策。
[Abstract]:The crime of manipulating the price of securities trading is a serious financial crime. The manipulators use their advantages of capital or information to influence the price of securities market and induce investors to participate in securities trading. Thus obtaining improper benefits or passing on risks. Manipulating securities trading prices artificially distorts the price formation mechanism of the securities market and disrupts the order of securities trading. It seriously endangers the normal operation of the securities market. Soon after the establishment of the securities market in our country, a large number of manipulating events have occurred in succession, which has become rampant and seriously infringed on the order of trading in the securities market and the rights and interests of investors. Taking the crime of manipulating the price of securities trading as the research object, this paper tries to use the method of case analysis on the basis of clarifying the basic concepts involved, and on the premise of deeply analyzing the constitution of the crime of the crime of manipulating the price of securities trading. This paper analyzes the case of "Zhongke Entrepreneurship", probes into some controversial issues, makes the theory of criminal law face the judicial practice, and finally puts forward legislative suggestions and supervision countermeasures against this crime. Specifically, this paper is divided into four parts: the first chapter: "the history of the crime of manipulating the price of securities trading and the status quo of legislation". It mainly expounds the development history of the crime of manipulating the price of securities trading, and gives a brief introduction to the United States, Japan and Taiwan. Chapter two: "the constitution of the crime of manipulating the price of securities trading". On the basis of defining the concept of the crime of manipulating the price of securities trading, the paper discusses the constitutive elements of the crime. The main focus of this chapter is the controversial "object of crime" and "subjective aspect of crime" in the theoretical circle. Chapter III: "case Analysis of the Crime of manipulating the Price of Securities Exchange-interpretation of the case of 'Zhongke Entrepreneurship'". This chapter adopts the method area of case study. The dividing line between this crime and legitimate speculation, It discusses the serious determination of the circumstances, the problem of unit crime, the proof of subjective intent, the problem of joint crime, and finally, the crime of this crime and insider trading, the crime of divulging inside information, The crime of fabricating and disseminating false information in securities trading is distinguished from the crime of deceiving investors to buy and sell securities. Chapter 4th: "Legislative perfection and regulatory countermeasures for the crime of manipulating the price of securities trading". Criminalization and prevention of crime, Some legislative suggestions and regulatory countermeasures are put forward.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2006
【分类号】：D924.3

【引证文献】