發(fā)布時間：2018-06-12 04:16

  本文選題：內幕交易罪 + 內幕信息��； 參考：《湖南大學》2014年碩士論文

【摘要】：隨著我國證券金融市場的發(fā)展,獲取內幕信息的方式越來越隱蔽,進行內幕交易的主體也越來越廣,內幕交易犯罪日益增多,引起了學界的廣泛關注,內幕交易犯罪的認定也因此成為當前研究的熱點。2009年江蘇省發(fā)生的劉某內幕信息交易案就是因為其定性上的爭議而引起社會關注的典型案例。劉某作為國家機關工作人員,以內幕交易罪被追究刑事責任,這在我國是首例。劉某等人內幕交易案涉及三個方面的爭議問題：一是上市公司重大資產重組洽談事件是否屬于內幕信息；二是劉某作為國家機關工作人員參與重組洽談是否屬于內幕信息的知情人員；三是劉某與陳某的行為是否構成共同犯罪。通過對本案的分析,可以得出如下結論：首先,中國電子科技集團公司第十四研究所與高淳公司進行資產重組洽談涉及高淳公司31.33%股權的變更,屬于涉及公司股權結構的重大變化,對高淳公司股票價格會產生實質性的重大影響,屬于內幕信息。其次,劉某作為國家機關工作人員參與整個洽談過程,洽談雙方在洽談中均告知了劉某洽談的進程,劉某也多次向南京市政府匯報了洽談的相關情況,因而劉某是因履行工作職責接觸內幕信息而知曉內幕信息的知情人員。再次,劉某知悉內幕信息后,授意其妻子陳某利用二人家庭實際控制的幾個股票賬戶和劉某向蔣某和薛某借來的巨資購買股票然后賣出,獲取了巨額的非法利益。二者因為夫妻關系的特殊性使得其在利用內幕信息交易上形成了共同故意,并實施了內幕交易行為,應當認定為內幕交易罪的共同犯罪。
[Abstract]:With the development of China's securities financial market, the ways of obtaining insider information are becoming more and more hidden, the subject of insider trading is becoming more and more extensive, and the crime of insider trading is increasing day by day, which has aroused the widespread concern of the academic circles. Therefore, the identification of insider trading crime has become the focus of current research. The case of Liu Mou insider information trading occurred in Jiangsu Province in 2009 is a typical case of social concern because of its qualitative controversy. Liu, as a state official, is investigated for criminal responsibility for insider trading, which is the first case in China. There are three controversial issues involved in the insider trading case of Liu et al. One is whether the major asset reorganization negotiation event of listed company belongs to insider information; Second, Liu as a state organ staff to participate in restructuring negotiations whether the insider information of the informed personnel; third, Liu and Chen's behavior constitutes a joint crime. Through the analysis of the case, we can draw the following conclusions: first, the 14th Research Institute of China Electronic Science and Technology Group Company and Gaochun Company conducted asset restructuring negotiations involving the change of 31.33% equity rights of Gaochun Company. It belongs to the substantial influence on the stock price of Gaochun Company and belongs to the insider information. Secondly, Liu, as a staff member of state organs, participated in the whole negotiation process. Both sides of the negotiations informed Liu of the process of the talks. Liu also reported back to the Nanjing Municipal Government many times about the discussions. As a result, Liu is an informed person who knows insider information because he is performing his duties. Once again, Liu knows inside information, instructs his wife Chen to make use of several stock accounts actually controlled by the two-person family and Liu Mou to buy stocks from Jiang and Xue, and then sell them, making a huge amount of illegal profits. Because of the particularity of the relationship between husband and wife, they have formed the common intention in using insider information trading, and have carried out the behavior of insider trading, which should be regarded as the joint crime of insider trading crime.
【學位授予單位】：湖南大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：D924.3

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本文編號：2008303