【作者】 李晓强；

【导师】 冯殿美；

【作者基本信息】 山东大学 ， 宪法学与行政法学， 2012， 博士

【摘要】 “集资犯罪”或“集资型犯罪”是学界和司法实务界比较关注的犯罪类型。目前,对于集资型犯罪这样一种危害性大、影响面广、关注度高的金融犯罪形式,学界还缺乏对此类犯罪的总体把握,没有形成完整的理论研究框架,已有的研究也没有将其作为中心问题进行探讨,体系性不强。因此,对集资型犯罪开展研究,既可以从总体上把握此类犯罪的总体规律,同时又可以在具体操作方面提出问题、总结经验,尽可能解决在应对和处置此类犯罪案件过程中存在的困惑和争议。正是基于上述考虑,笔者在本论文中首先从集资型犯罪的原理入手,在分析集资型犯罪的概念、范围和犯罪本质的基础上,研究分析集资型犯罪的犯罪构成；接下来就集资型犯罪在司法适用方面存在的疑点和难点问题提出个人见解；最后在总结集资型犯罪立法概况的基础上,明确此类犯罪的立法方向,并提出完善立法的具体意见和建议。总体思路是,既从理论上对集资型犯罪进行基本的分析概括,同时也关注此类案件在立法和司法两方面的具体操作,力争实现理论和实践的有机结合。本论文分导论和正文两部分。在导论中,依次介绍了论文的研究背景和意义、相关研究文献综述、论文采用的主要研究方法和论文的主要创新等四项内容。正文部分共分四章。第一章为“集资型犯罪的一般原理”,包括三个部分：非法集资及其特征；集资型犯罪的概念和特征；集资型犯罪的犯罪本质。在本章中,笔者从基本概念入手,首先分析什么是“集资”和“非法集资”,并从三个方面对非法集资的特征进行概括和总结,在此基础上,未集资型犯罪下一明确定义并阐述其特征。最后,从金融监管、非法集资的负面效应和侵犯法益三个角度论述了集资型犯罪的犯罪本质。第二章为“集资型犯罪的犯罪构成”,包括四个部分,分别是集资型犯罪的犯罪客体、犯罪客观方面、犯罪主体和犯罪主观方面。本章主要以传统理论中的“四要件”说为理论框架,对集资型犯罪的犯罪构成进行了详尽分析,厘清了其中存在的种种争议,提出了自己的观点。第三章为“集资型犯罪的司法认定”,包括四个部分：集资型犯罪的罪与非罪、集资型犯罪的罪间界限、集资型犯罪的犯罪数额和集资型犯罪的犯罪形态。本章侧重于对集资型犯罪的在司法实践中的认定问题展开研究,特别是围绕容易出现争议和问题的部分,重点展开论述。第四章为“集资型犯罪的立法完善”,包括三个部分：集资型犯罪的立法概况；集资型犯罪的立法方向；集资型犯罪的立法完善。本章中,首先选取德、日、美、英、台湾四个国家和地区作为代表,分别介绍了有关集资型犯罪的立法情况并进行述评；之后对我国改革开放以来的集资型犯罪立法情况进行了总结评述。接下来结合“孙大午案”和“吴英案”对我国集资型犯罪的立法问题进行了深入分析,提出了完善集资型犯罪立法的思路和方向。最后,针对修改和完善我国集资型犯罪立法问题,提出了个人意见和建议。更多还原

【Abstract】 "Fund-raising crime" or "fund-raising type of crime" is attracting special academic and judicial concern. Presently, for such a highly harmful, widely influential and strongly concerned financial crime, researchers haven’t got a systematic grasp or constructed complete theoretical framework yet. Moreover, the existing research did not explore it as a primary issue. Therefore, study on fund-raising crime may on the one hand be focused on an analysis of the common patterns, and on the other the law enforcement practice, with its stress laid on the solution of confusions and disputes appeared in handling such crimes.Based on the above consideration, this dissertation starts with an analysis of theories about fund-raising crime, discusses the concepts, range, nature and the constitution of the crime, then comes up with some personal opinions about its judicial application, and finally summarizes the legislative situation, points out a direction and proposes some specific suggestions. Such an approach intends to combine theory and practice by taking into consideration both a theoretical conclusion and practical concern about legislation and judicial procedures.This thesis consists of an introduction and the text proper. In the introduction, four parts of information are given, namely, background and significance of the study, statement of related studies, main approach and the innovation of the work.The text proper includes four chapters. The first chapter is titled as "General Theories Concerning Fund-raising Crime", including three parts:illegal fund-raising and its features, the concept and features of this crime, and essential qualities of the crime. The writer firstly distinguishes "fund-raising" and "illegal fund-raising", summarizes the features of illegal fund-raising from three aspects, then defines the term rather clearly. Eventually, the essence of the crime is discussed from financial supervision, negative influence and invasion of legal rights.The second chapter-Constitution of Fund-raising Crime-is composed of four parts, namely, the object of crime, objective aspects, the subject of crime and subjective aspects. This chapter frames on the traditional notion of "four essential parts", elaborates on the crime’s construction, explains the disputes and puts forward some special viewpoints.The third chapter is "Judicial Determination of Fund-raising Crime", including the right and wrong in fund-raising crime, the bound of fund-raising crime, number limits of fund-raising crime, and patterns of fund-raising crime. Great stress is put on the study of Judicial Determination of Fund-raising Crime, especially some disputable and questionable parts.The fourth chapter is called "Legislation Completion on Fund-raising Crime", including legislative situation, legislative direction and legislative completion about the crime. Legislations on fund-raising crime in Germany, Japan, America and Taiwan are taken as examples and analyzed respectively. China’s legislative situation about fund-raising crime after reform and opening up is summarized and discussed, too. After that, the legislative direction on fund-raising crime in China is attentively analyzed with regards to the case of Wu Ying and the case of Sun Dawu, the correct direction legislative completion is therefore raised. Finally, some personal opinions and suggestions are raised concerning amending and improving our national legislative problems on fund-raising crime.更多还原