我国证券交易犯罪研究

发布时间：2018-04-17 18:40

本文选题：我国 + 证券　；参考：《中国政法大学》2001年硕士论文

【摘要】： 证券交易犯罪在我国是一种较新的犯罪类型，近年来对于这一犯罪研究的著述开始增多。但大部分学者都从刑法学的角度出发，着重研究证券犯罪的构成要件，很少从犯罪学的角度出发，论述这类犯罪产生的深层次原因和问题。本文主要以犯罪学的研究方法，研究我国证券交易犯罪的特点和现状，证券交易犯罪产生的原因，并提出了预防证券交易犯罪的管见之策。本文的主要内容包括：前言：介绍写作本文的缘由；第一部分：证券、证券交易市场的概念和特征，主要介绍了与证券犯罪相关的证券基本知识；第二部分：证券交易犯罪的概念和现状。这一部分首先对证券交易犯罪的概念进行了界定，即在证券交易过程中发生的，危害证券监管秩序，，具有严重社会危害性的，应受刑罚制裁和非刑罚制裁的行为。证券交易犯罪是一种典型的法定犯罪，是一种白领犯罪，还是一种政策性（体制性）犯罪。其次，这一部分对于证券交易犯罪的现状及其特征进行了概括，即证券交易犯罪具有多发性和普遍性，证券交易犯罪一般是相互关联的机构共同实施的犯罪，犯罪主体以机构大户为主，并与政府部门、金融机构联系密切，证券交易犯罪被害人缺乏明确的被害意识，并对证券交易犯罪有认同心理，证券交易犯罪具有严重的社会危害性，证券交易犯罪是智能犯罪，证券交易犯罪的犯罪暗数高。第三部分：证券交易犯罪原因构成研究。这一部分对于证券交易犯罪的原因作了初步的分析。首先，从整体上看，证券交易犯罪原因分为两大类：（政策性）体制性的原因和证券市场本身的原因。前者是我国证券交易犯罪普遍的主要原因。其次，这一部分主要论述了与主要原因相关的具体原因。第四部分，证券交易犯罪的防治策略。这一部分从预防和控制这两个层方面展开论述，着重强调以下两点：首先，由于我国证券交易犯罪具有政策性或体制性原因。我们的预防策略首先应当是确立国家对于证券市场的正确定位，改变现有的证券监管理念，建立证券市场的自身对于犯罪的免疫机制，从而改变中国证券交易犯罪所具有的普遍性现象。其次，我们还应该证券市场的自身建设入手，健全证券市场的机制，从而抑制证券犯罪的产生。
[Abstract]:Securities trading crime is a new type of crime in China.However, most scholars focus on the constitutive elements of securities crime from the perspective of criminal law, and rarely discuss the deep-seated causes and problems of this kind of crime from the perspective of criminology.Based on the research methods of criminology, this paper studies the characteristics and present situation of the crime of securities trading in our country, the causes of the crime of securities trading, and puts forward some countermeasures to prevent the crime of securities trading.The main contents of this paper are as follows: introduction: introduction of the reasons for writing this article: the first part: the concept and characteristics of securities and securities trading market, mainly introduces the basic knowledge of securities related to securities crime;The second part: the concept and present situation of securities trading crime.This part firstly defines the concept of securities trading crime, that is, the behavior that occurs in the process of securities trading, endangers the order of securities supervision and has serious social harmfulness, and should be punished by punishment and non-punishment.Securities trading crime is a typical legal crime, a white-collar crime, or a policy (institutional) crime.Secondly, this part summarizes the current situation and characteristics of securities trading crimes, that is, securities trading crimes are common and common, and securities trading crimes are generally committed jointly by interrelated institutions.The main body of the crime is a large number of institutions, and has close ties with government departments and financial institutions. The victims of securities trading crime lack a clear sense of being victimized and have a sense of identity to the crime of securities trading.The crime of securities trading has serious social harmfulness. The crime of securities trading is an intelligent crime, and the crime of securities trading has a high crime potential.The third part: the composition of the crime of securities trading.This part makes a preliminary analysis of the reasons for the crime of securities trading.Firstly, on the whole, the causes of crime in securities trading can be divided into two categories: the institutional reasons and the reasons of the securities market itself.The former is the main reason for the common crime of securities trading in China.Secondly, this part mainly discusses the specific reasons related to the main causes.The fourth part, the prevention and cure strategy of securities trading crime.This part discusses from the two aspects of prevention and control, emphasizing the following two points: firstly, because of the policy or institutional reasons of the crime of securities trading in our country.Our preventive strategy should first be to establish the correct positioning of the country for the securities market, to change the existing concept of securities supervision, and to establish the securities market's own immunity mechanism against crime.In order to change the crime of securities trading in China has a universal phenomenon.Secondly, we should start with the self-construction of securities market, perfect the mechanism of securities market, and restrain the emergence of securities crime.
【学位授予单位】：中国政法大学
【学位级别】：硕士
【学位授予年份】：2001
【分类号】：D917

【引证文献】