【作者】 余雄；

【导师】 张立荣；

【作者基本信息】 华中师范大学 ， 行政管理， 2003， 硕士

【摘要】 我国证券市场创立近15年来，毫无疑问是在市场不当行为的不和谐音伴奏下逐步发展壮大的，虽然有关部门为规范证券市场建立了相应法规体系和严格的监管制度，但作为证券市场监管实务重要内容的内幕交易监管则差强人意。 本文以我国证券市场内幕交易监管问题为研究对象，通过对我国证券市场内幕交易实例研究，总结出其行为特点，对我国证券市场内幕交易的监管问题进行了一些深入的分析，为改善我国证券市场内幕交易的监管方式提供了一些有益的参考。 全文内容共分五部分，主要内容有： 第一部分导言简要介绍在新形势下进一步重视对中国证券市场内幕交易及其监管问题的研究，既具现实意义又颇富理论价值。 第二部分是对证券市场内幕交易的界定及其危害性分析，首先从内幕交易的概念入手，接着介绍了内幕人员和内幕信息，最后分析了内幕交易的危害性。 第三部分先对我国证券市场内幕交易典型实例进行了归纳，然后从中分析出我国证券内幕交易行为的主要特点。 第四部分通过对我国证券市场内幕交易的监管制度形成发展进行回顾，阐述内幕交易自律性规范制度、行政监管制度和法律监管制度；对我国证券内幕交易监管现状进行了总结。最后，指出我国证券市场内幕交易监管存在的问题，并分析其成因。 第五部分主要就中国证券市场内幕交易的监管提出了重建我国证券市场的信用基础、维护规则“三公”、变革市场监管理念和完善相关基础制度改善对策。 中国证券市场监管问题是一个宏观课题，对作为证券市场监管实务重要内容的内幕交易监管这一微观具体问题研究者不多。本文的创新之处在于：一，爹糕位论文，S丁’IIESIS通过对我国证券市场内幕交易监管制度研究分析得出的“三大监管制度”颇具新意。二，是以在证券从业巧年实践者的亲身感受，比较客观地分析了当代我国证券市场内幕交易监管现状。三，抓住了我国证券市场内幕交易监管存在的主要问题，有针对性地提出了“四大工作”的改善措施。更多还原

【Abstract】 It is doubtless that the securities market in our country has gradually developed, accompanied by the improper acts and the tunelessness of the market, since it set up fifteen years ago. Although the department concerned established corresponsive laws and rigorous regulation systems, as the important content of the regulation on the securities market, the insider trading regulation is just passable.In this article the author takes the problems of insider trading regulation in our country’s securities market as the object of study, by means of researches on living examples, summarizes the distinguishing feature of this act, analyses the problems of the regulation, then provides some valuable reference for the establishment of the regulation model of insider trading.This thesis is divided into five parts .A brief summary reads as follows: In the first part, the introduction provides the information that the insider trading should be attached more importance to and provides the researches of the problem about the regulation. It has not only practical significance but also theoretical value.In the second part, starting with the definition of the insider trading in the securities market, the author introduces the insider and material nonpublic information, lastly analyses the harmfulness.In the third part, the author sums up the typical examples of the insider trading then analyses the main characteristic of the act.In the fourth part, through the review of formation and development of the regulation system, the author sets forth the self-regulatory system, administrative regulation system and legal regulation system, finally and summarizes the characteristics of regulation, finally, points out the problems and analyses the causes of formation.In the fifth part, the author puts forward some proposals, for instance, rebuilding the confidence basis, upholding the rules of transparence, fairness and impartiality, reforming the regulation idea and improving the relative systems.The problem of the regulation on our country’s securities market is a macrotask, few researchers research and study this micro and concrete problem of insider trading regulation. There are some innovations in this article. Firstly, "three kinds of regulation system " are new and original; secondly, through the personal experience of a practicer engaged in securities, the author analyses objectively the contemporary situation; lastly, the author puts forward the measure of "four items task ", in view of the main problems existing in the insider regulation.更多还原