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A Study on Legal Regulation of Inside Trading in Chinese Securities Market

Author: LiuZiCheng
Tutor: ZhangYuRun
School: Anhui University
Course: Legal
Keywords: Stock Market Insider Trading Legal Regulation
CLC: D922.287
Type: Master's thesis
Year: 2010
Downloads: 380
Quote: 0
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Abstract


Insider trading is the stock market ills, not only undermine and erode the normal order of the securities market, also violated the legitimate rights and interests of investors, as the world's securities regulatory issues and problems faced by the common. Because insider trading concealed, China's securities market is still in the \Securities insider trading refers to unpublished master and have a significant impact on the price of securities of inside information, the use of this information in securities trading or insider information leaked to others or recommend others to conduct securities transactions. Securities insider trading by the insiders, insider information, insider trading compose, where insider trading is the subject of insider trading, insider trading information is an objective basis for the use of insider information for securities trading is the main expression. Insider trading in the securities of serious damage to legitimate rights and interests of investors, undermining the stock market trading order, undermine investor confidence, is not conducive to the stability and development of the securities market healthy. Fair profit for the protection of investors have the opportunity to maintain an open, fair and equitable market environment, improve the efficiency of resource allocation, improve the competitiveness of China's capital market, we must strictly prohibited insider trading. For securities insider trading, the U.S., EU, UK, Japan and China's Hong Kong and other capital market is relatively mature countries or regions have established a characteristic of all regulatory and legislative systems, for improving legal regulation of insider trading has a good reference effects, such as the powerful SEC enforcement authority, judicial cooperation regulatory system, settlement system, insider reporting system, system of regulatory cooperation of EU member states, the United Kingdom, Japan's self-regulatory system as well as China's Hong Kong is relatively independent professional tribunal system and so on. As China's securities market started late, to combat insider trading, many modifications and improvement of laws and regulations, the establishment of administrative, civil and criminal accountability system trinity. But imperfect laws and regulations, lack of enforcement tools exist, although China has been working to combat insider trading, insider trading or repeated, and the outbreak of the \a large number of major cases. From insider trading cases in recent years, surveys can be found in our legal regulations on insider trading exists on that standard is not clear enough, the relevant laws and regulations are incomplete or not supporting, inadequate or difficult to implement law enforcement authority, criminal and civil penalties and small defects or problems , resulting in insider trading case investigation difficult, difficult to identify, investigate single way, the survey cycle is long, the punishment is not timely, deterrence is not higher social situations. According to China's securities regulatory status quo insider trading laws and problems for the effective fight against insider trading, and maintain the stock market open, fair and just, to protect investors' legitimate rights and interests, we need to constantly improve our securities laws and regulations on insider traders, range of insider information, the burden of proof, the administrative law enforcement authority is investigating the legal rights and obligations, insider trading and other aspects of the legal responsibility to make clear and specific provisions, focused on solving the insider trading investigation of cases find it difficult to exist, the survey is difficult, finds difficult problem. Meanwhile, the approval of China's securities market insider trading has many links, information wide range of state-owned enterprises, and information chain length and case characteristics such as high level of professionalism, and administrative law enforcement and judicial resources are limited, decided not rely solely on the administrative law enforcement and judicial sanctions . In order to improve the efficiency of the fight against insider trading and effectiveness, should make full use of social resources by strengthening the routine supervision, good prevention in advance, during surveillance, increase punishment afterwards, multi-level, comprehensive insider trading regulatory system. These include: strengthening the routine supervision, strengthen the ethical culture, strengthen education and publicity, control the source of insider trading; insider information of listed companies to strengthen management, establish and improve the registration system of insider information; make full use of social resources, strengthen social supervision, improve reward and secrecy, etc.; expand insider trading law enforcement authority, further amendments to improve relevant laws and regulations and implementing rules, improve the civil compensation system, the introduction of the system burden of proof to establish reconciliation system; further integration of law enforcement forces SFC system, improve the Commission, agency and exchange \

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