【作者】 季攀之；

【导师】 高增安；

【作者基本信息】 西南交通大学 ， 工商管理， 2012， 硕士

【摘要】 近些年来,随着世界各国经济的贸易往来在不断地加强和经济全球化的不断地发展,洗钱活动也慢慢地出现了很多新的发展趋势和巨大变化：洗钱者不断地在搞创新,洗钱的方式变得越来越复杂和越来越隐蔽；洗钱活动正一步一步地向高科技化以及高智能化方向靠拢；另一方面,洗钱活动也渐渐地从发达国家向发展中国家开始发生转移,跨国的洗钱行为已经逐渐地成为了现代洗钱活动中的一个重要的特征,它不但严重地影响了全球的经济金融秩序稳定,而且还对各个国家的经济安全造成了巨大的危害。香港,这个作为一个国际金融中心的地区,很早便拥有了200多家银行、保险和证券机构入驻其中,香港特别行政区金融业的发达以及各种金融咨询公司咨询服务的广泛提供以及在香港极其容易获取空壳公司等都使得香港成为了洗钱者漂白其各种犯罪黑收益的最佳理想场所之一,香港特别行政区甚至一度被评为了“洗钱者的天堂”。截止2011年8月31日香港联合交易所挂牌交易的上市公司数量总数为1463家(包含主板和创业板),市价总值194318亿港元。在香港证券市场活跃繁荣的背后,不乏一些洗钱分子利用证券市场的特殊性进行洗钱犯罪活动,本文就通过对香港地区证券市场洗钱分子的各种洗钱手段进行了研究和分析,归纳为洗钱分子在证券市场上常用的洗钱手法及利用控股上市公司进行洗钱手法这两大类,并介绍了一些反制措施以及对内地证券市场反洗钱监管提出了一些建议,对我国内地金融监管机构完善当前的反洗钱监管政策提供有益的参考,为金融机构开展反洗钱培训、提高反洗钱工作的有效性提供支持,有利于我国金融行业秩序健康稳定的发展。更多还原

【Abstract】 Nowadays, as the increasing of international trades between countries and the developing of globalization and technology, money laundering shows us new approaches, it becomes more stealthy, complicated and international. It has seriously disturbed the stability of the world economic and posed a threat to many nations.Hong Kong is a Special Administrative Region of the PRC, it is an international financial center, has more than200banking, insurance and securities institutions. As to the blooming economic, variety of company services, and the easy access to shell companies in Hong Kong, making it become the "money laundering paradise". As of August31,2011the total number of listed companies traded in HKSE was1463, including the Main board and GEM, Market Capitalization of HK$19431800000000. Behind of the boom of Hong Kong stock market, some crimes use this market laundering money. This paper summarized two types money laundering in Hong Kong stock market, fist one is the common approaches of money laundering in Hong Kong stock market; and the second one is by holding companies to implement money laundering in Hong Kong stock market. Then, this paper also introduced a number of counter-measures in Hong Kong stock market and gave some suggestions of anti-money laundering regulation to the mainland stock market.By analysis the real cases in Hong Kong, this paper also provides financial institutions the effective policy, and improves the anti-money laundering training, thence, makes our financial become more healthy and stable.更多还原