【作者】 曹廷生；

【导师】 冯殿美；

【作者基本信息】 山东大学 ， 刑法学， 2008， 硕士

【摘要】 从学科体系上划分,对期货犯罪的研究,可以从犯罪学的角度,研究期货犯罪的现象、原因和预防;也可以从刑法学的角度,研究期货犯罪的罪与责。在罪与责这个层面,对期货犯罪的研究又可以从立法论和解释论两个方面进行:立法论讨论的是对期货犯罪进行刑法规制中的立法政策和立法技术;解释论关注的是对期货犯罪进行刑法规制中的法律解释和法律适用。应当承认,上述划分仅仅是一种观念上的划分,实践中,无论从哪一个角度出发,对期货犯罪的研究都不可能孤立地进行,而都是一个“往返于事实与规范之间”、兼顾“实然”和“应然”的过程,只是各自有不同的侧重而已。本文立足于我国《刑法》和司法实践,着眼于期货犯罪立法中刑事政策的定位和立法技术完善,属于立法论的范畴。研究期货犯罪的立法首先需要研究立法规制的对象——期货犯罪。有两个问题至为重要:首先,期货犯罪的内涵和外延是期货犯罪立法作用范围的外部界限,因为只有确定了哪些行为应当纳入规制的范畴,立法才能做到有的放矢。其次,期货犯罪的罪质,作为期货犯罪行为之所以被刑法规定为犯罪的根据和理由,它关系到立法的价值取向,决定着各具体立法技术模式选择的基本立场。根据罪质,期货犯罪划分为主要侵害期货管理秩序和主要侵害期货交易秩序两大类型。我国期货犯罪的立法完善,需要以自身历程为镜鉴,以国外立法为参照,以利于立足本国实践和国情、明确世界立法现状和潮流。期货犯罪的立法技术可以划分为宏观和微观两个层面。宏观层面主要包括立法模式以及罪名体系等几个方面,立法模式讨论的是以何种形式的法律规范规定期货犯罪的问题,即是用刑法典还是用特别刑法规定期货犯罪的问题。罪名体系的立法完善包括外部结构的完善和内部结构的完善。其中,外部结构问题主要解决指期货、证券犯罪的关系;内部结构问题主要解决犯罪圈的合理设定、金融期货与商品期货犯罪的关系以及期货犯罪罪名在《刑法》分则中的分布。微观层面的立法技术主要包括期货犯罪的基本构造和刑罚配置两个方面。前一问题中,本文主要讨论了期货犯罪主、客观构成形态的问题;后一方面,本文主要讨论了刑种的立法完善问题。更多还原

【Abstract】 According to the discipline systems, the futures crimes can be studied from the perspective of criminology, which includes the phenomena, causes and preventive measures, as well as the perspective of Criminal Jurisprudence, which includes the culpabilities and the criminal liabilities. The latter can be classified into two aspects: one is the legislative theory and the other is hermeneutics. The legislative theory is about the legislative policies and the legislative techniques and the hermeneutics is about the interpretation and the execution of the criminal law. Admittedly, all the classifications above mentioned are the idealistic ones. Factually, on making the study of the futures crimes, we can not do that from only one of the perspectives, but take both aspects into consideration. The difference lies in the preference we have in different case. What this article researches into, on the basis of our Criminal Law and juridical practices and on purpose to ascertain the criminal policies and improve the legislative techniques, belongs to the matter of legislative theory.The first thing for studying the legislative improvement is to study its object, the futures crimes. There are two important things. Firstly, the conception and the definition of the futures crimes are the critical elements of determining the range of legislation. Secondly, the essence of the futures crimes, which acts as the ground of criminalization, play a critical role in the location of value orientation and the choice of the basic position. According to recognition of the essence, this article divides the futures crimes into two types, the first is the one invading the administrative orders of futures markets, and the second is the one invading the trade order of futures markets.To improve the legislation of futures crimes, we should review the legislative history of our country and refer to the legislative situations status quo of foreign countries. That does help for us to understand both the native actualities and the international tendency.The legislative techniques of futures crimes consist of the macroscopic ones and the microscopic ones. The macroscopic one is composed of the techniques such as legislative model, accusation systems, etc. The question of legislative model is about the forms of the legislation of futures crimes. That is to say, this is a question that what forms, the criminal code or the special criminal law, the futures crimes should be provided in. The accusation systems include the outer systems and the inner systems. The former question focuses on the relationships between the futures crimes and the securities crimes. The main points of the latter question include three parts: how to deal with the relationships between commodity futures crimes and finance futures crimes, how to set the crime circle reasonably and how to distribute the accusations in the specific provision of our Criminal Law. The microscopic one is composed of the techniques such as fundamental structures, penalties configurations, etc. As far as the fundamental structures concerned, this article has a specific discussion of the subjective structural conformation and the objective one. As far as the penalties configurations concerned, this article concentrates on the question of penalty categories.更多还原