內線交易的法律與經濟分析; Legal and Economic Analysis on Insider Trading

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题名:	內線交易的法律與經濟分析;Legal and Economic Analysis on Insider Trading
作者:	陳玉祥;Yu-Hsiang Chen
贡献者:	產業經濟研究所
关键词:	內線交易;法律與經濟分析;legal and economic analysis;insider trading
日期:	2011-08-30
上传时间:	2012-01-05 15:08:43 (UTC+8)
摘要:	隨著證券交易日趨普及，網路通訊日新月異，內線交易目前已是金融犯罪之首，世界各國無不戮力在解決內線交易所衍生的法律問題。本文旨在討論內線交易的諸多法律面向，並輔以經濟學的觀點審之。第一章：說明本文研究動機與目的、方法、範圍與限制。第二章：介紹內線交易的基本性質，包含內線交易的定義、形成原因、保護法益、與禁止內線交易的存廢探討。第三章：此章著眼於經濟分析，包含法律與經濟的關聯、法律經濟學的基本概念以及與內線交易有關的經濟理論。第四章：介紹美國內線交易相關法律規範，以時間脈絡交代美國內線交易的法制演進。第五章：介紹美國內線交易相關理論，依循美國立法例之發展，作為我國相關參考依據。第六章：從我國法制角度出發，包含內線交易的主體認定與重大消息相關議題。第七章：探討內線交易法律責任與議題，包含民刑事責任、犯罪所得認定、認罪協商制度、除罪化觀點與我國投顧業的相關規範。第八章：結論與建議 With the growing popularity of the securities trading and the rapid development of the internet communication, insider trading has became the top of financial crime. In order to stop the growth of insider trading, the entire world now puts great efforts into solving the legal problems. Based on this issue, we write a thesis which discusses several aspects of insider trading law and we also add some points of view in economics to examine it. Chapter Ⅰ：In this chapter, we will illustrate our motivation and purpose for this research, the methods we use, the areas in which involved and limitations of this thesis. Chapter Ⅱ：We will introduce the fundamental nature of insider trading. The definition, the causes, and the protection of legal interests are described in this chapter. In addition, we will discuss whether we should prohibit insider trading or not. Chapter Ⅲ：This chapter is mainly about the economic analysis, it includes the relationship of law and economic, the basic concept of law and economics and the economic theory related to insider trading. Chapter Ⅳ：We will introduce the regulations of insider trading of U.S.and illustrate the evolution of legal system of U.S. chronologically. Chapter Ⅴ：This chapter introduces the theory of insider trading of U.S. Besides, we will reference the development of American convention in related issues when our country faces the similar situations. Chapter Ⅵ：From the view of legal system of R.O.C., we will discuss the subjective identification of insider trading and related issue of material information. Chapter Ⅶ：In this chapter, we will discuss the legal responsibility and issue of insider trading. For instance, the responsibilities of civil and criminal, the recognition of proceeds of crime, plea negotiation, the view of decriminalization and the regulations of the investment consulting are included. Chapter Ⅷ：This chapter concludes with a sight toward the insider trading legislation.
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