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On the legal regulation of insider trading in the securities in the over-the-counter market

Author: ChengXing
Tutor: HeDong
School: Nanjing Normal University
Course: Legal
Keywords: OTC market Insider trading Access system Information disclosure system
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 105
Quote: 0
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Abstract


Insider trading is not uncommon in the economic field , the dangers of it is that caused unfair market competition , so that the terms of reference of the use of their hands or other heretical aware of inside information to get a lot of profit , damage the trust of the people on the market from the long-term view is bound to affect the development of the economy . Also occurs insider trading in the securities market , Huang Guangyu case is the recently popular fried a case of insider trading cases , but this case occurred in the exchange market , insider trading is more likely to occur in the OTC market . Of provisions in the legal system for over-the-counter market the more ambiguous , some of the plates the establishment of the market is often a paper approval in accordance with the SFC . Access system for over-the-counter market , trading system, the regulatory system are the supporting documents to be supplemented , not only from the law are not up to standard , the effect can not be achieved expected results , legal resources types of waste . In order to improve the over-the-counter market mechanisms to achieve its capital financing to upgrade functionality from the access system , the regulatory system , information disclosure system start , it is necessary to prohibit insider trading behavior generation . This paper tries to learn from the U.S. , Japan access system, the regulatory system , information disclosure system of legislative and judicial practice on the basis of , from the perspective of the particularity of the over-the-counter market in China to the OTC market insider trading should be how to regulate their own understand. The first part discusses the case of insider trading in over-the-counter market in China , first introduced some of the characteristics of insider trading , followed by the contrast of over-the-counter market, insider trading and beauty , the difference again introduce our the venue market regulation insider trading legal norms , which leads to problem of insider trading regulation in the OTC market . Second , specific analysis of the three-part problem , comparative analysis , three from the over-the-counter market access system, the regulatory system , information disclosure system focused start . The fourth part of the combination of the special nature of the OTC market , and recommendations on improving the regulation of over-the-counter market insider trading laws .

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CLC: > Economic > Fiscal, monetary > Finance, banking > China's financial,banking > Financial market
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