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On the Civil Liability System of Insider Trading in China

Author: HuJie
Tutor: LiJianHua
School: Jilin University
Course: Legal
Keywords: Securities Law Insider Trading Civil Liability
CLC: D922.287
Type: Master's thesis
Year: 2010
Downloads: 347
Quote: 2
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Abstract


Throughout all the history of securities investment, personal or group are all seeking for information that most of the investers do not know, and use it gain profit。From the very begaining of 19th century, there are lots of people using the undetected insider information to gain profit, but it seldom to be found.Since the securities market established in our country, it’s no doubt that it is developing accompany the discord of the unproper action in the market. Since 1993, China Securities Regulatory Commission punched heavy blows frequently, punished lots of the unproper action. But the regulation of the market is unsatisfactory. So, the author analyse problems presence through the provision of civil liability for insider trading, inspecte the rules of insider trading, compare the systerm of other country and area, propose opinion on pefect the civil liability for insider trading, look forword to be beneficial the civil liability for insider trading of our country. The thesis consists of three chapters.In chapter 1, I mainly give a general investigaintion on starting points of reseach on the concept the civil liability for insider trading, analyse the concept and characteristics of the civil liability for insider trading. After researching on the concept of insider trading, I definitely point out the extent of insder information. After a historical and update review on the securities profession and the securities market, I clarify relations between them, and then, into the characteristic of civil liability for insder trading. To facilitate the discussions of main issues, it is necessary to introduce the theory of the regulation of insider trading and lately law development in the world. Therefore, the theories of regulation of the insider trading is examined, including the disputes on the relation, the essential concept of insider trading, the main types of insider trading. Of course, the developments of the insider trading regulation in the world are review. Finally, civil liability of insider trading is qualitative as a special tort, this is agreed on most of the researcher.In chapter 2, for the purpose of demonstradting the defect of the civil liability for insder trading, undertake a review of legislativeand the regulatory practice of the insider trading regulation in China, I firstly analyze the general theory on responsibility principle, introduce the legal resources of prohibition of the insider trading regulation in China and analyses the law-making features. The second part review the law enforcement of insider trading regulation in China market, including the leading cases, the misconduct features and empirical analyses. Then I indentify with the elements of the civil liability for insder trading. Finally, I consider that there is another important aspect is defences. Therefor, the extent and method of the civil liability should be clear. Some tort defences in the general basic theory of civil law, as justifiable defense, emergency hedge, force majeure and other principles, are cannot be used in the civil liability of insider trading identifying. Therefore, most countries have the special regulations for civil liabity of insider denfence reasons. There are many species all together, including false of plaintiff, the information is already publicity, want to trading at first, no profit or avoid loss, cannot previse other trading, the politics based on the command of government and defence reason based on the missing elememts of the civil liability of insider trading.In chapter 3, firstly, after probing the defect of the insder trading systerm, I come to a conclusion that securities supercision law should be perfect to protect the investors right. The insider trading regulation is subject to different kinds of restrictions and barriers which make it difficult to enforce effectively. The relationship between the government and the market in China economy transition is China economy transition are identified in this part. Secondly, I analyze the defect of each aspect I propose. The insider trading regulation has experienced difficulties in many aspects, including the culture background and psychological elements in whole society. Finally, I propose the perfect opinion. To perfect the civil liability of insider trading in China, I suggest define related concept about insider trading, clear the character of the civil liability, responsibility principles, elements, defence reason and use judicial interpretation.

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CLC: > Political, legal > Legal > Chinese law > Financial Law > Securities and Management Act
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