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Insider trading and its legal regulation

Author: LiDongJun
Tutor: KuangAiMin
School: Central University for Nationalities
Course: Legal
Keywords: Insider trading Legal Regulation Civil liability
CLC: F832.51
Type: Master's thesis
Year: 2011
Downloads: 138
Quote: 1
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Abstract


Since the 1990s, with the in-depth development of China's capital market, the Securities and Exchange, the increasing spread of insider trading behavior increasingly aroused deep concern of investors, the country also adjusted the policy and the implementation of strict legal measures, insider trading has become increasingly rampant, poses a serious threat to the order and the development of China's capital market. To face the problem of insider trading under the new situation, self-sufficiency in China's national conditions, learn from advanced research results of foreign economic law, the use of literature, empirical research, comparative research attempts to improve China's capital market to establish a market and the rule of law and launched a preliminary theoretical thinking, such thinking to construct a theory of insider trading research system, to explore departure from the concept of nature and insider trading insider trading liability, particularly in-depth thinking and analysis of how the damage to investors in the insider trading behavior reasonable compensation, namely the establishment of a proper system of civil liability in order to safeguard the fairness of the securities market, just the principle of openness and the protection of investors' interests. The text of this paper consists of four parts, while the account of the writing of the paper as well as the introduction of background, the significance of the topic, the status quo of the research and the scientific research methods, there innovations of its shortcomings. The first chapter attempts to seek the understanding of the nature of insider trading, continuous improvement and correction theory of insider trading issues between the various theories. Although insider trading is not the same as an entry point, this paper summarizes and outlines the definition of several circumstances, and combined with the actual situation in China's internal transaction is defined as \the information of people, the abuse of the information to the trading of the underlying securities or disclosure of the information or suggestions others to engage in securities trading behavior. \Accurate analysis and theory of insider trading systems also need to start from the basic characteristics of the constituent elements defined. This paper points out the main specific insider trading, the unreasonable use of insider information, insider trading purposes profitability. Additionally constitute insider trading by insiders, insider information, insider trading and insider trading by the four elements of the subjective state of mind, and semantic analysis, accurate, scientific definition of its connotation and extension. The second chapter in the first chapter of the basic theoretical concepts basically discusses insider trading liability crime severely punished insider trading, and a detailed analysis of the subjective judgments and objective elements, identified from a criminal law perspective, and Zuiyufeizui this crime and other crimes carried out a careful distinction, appropriate criminal liability under the law. But just criminal punishment is not fundamentally solve the problem of insider trading, the paper pointed out how insider trading behavior and the damage to investors reasonable compensation, namely the establishment of the civil liability system in order to safeguard the fairness of the securities market, justice, the principle of openness and the protection of investors' interests. Chapter take normative analysis and comparative studies, in-depth study of the process of insider trading legislation, and pointed out the shortcomings of the insider trading legislation, analysis of the legal regulation of insider trading from a practical perspective. Insider trading legislation from scratch, has a close relationship with the development of China's securities market. China's insider trading legislation is not perfect, immaturity, lack of the legal system, the key concepts of fuzzy, lack of principle, lack of legislative democracy will seriously affect the practice of judicial and law enforcement activities of the anti-insider trading affect the normal legal order of the securities market. The fourth chapter is how to achieve the capital markets, the rule of law under the current economic conditions on the basis of the first three chapters of theoretical analysis and practical cognition by deep thinking, the author supports only establish strict controls on insider trading, in order to safeguard the securities market The basic order. Example, should gradually establish and perfect the insider ownership reporting system to improve the information disclosure system, improve behavior limit system, the implementation of the internal control system of intermediaries and listed companies. The authors believe that the governance of insider trading, China's securities market is completely able to enter a virtuous, healthy and sustainable development track, from the point of view of the system is strictly guard against \.

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