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非法经营黄金期货案件的刑法问题研究 中英文摘要与引言

来源:学术堂 作者:周老师
发布于:2014-04-30 共1898字

  温馨提示:本篇为硕士论文部分中英文摘要与引言,如需查看完整硕士论文,请看本文末尾处。

  中文摘要

  黄金不仅是一种商品,也被用于货币的载体。伴随社会发展的日新月异,公众对黄金市场的走势愈发关注,纷纷寻求更宽的投资渠道,我国金融市场对黄金投资的需求逐步升温。我国的黄金市场已经初步地形成了面向机构和个人、现货黄金与衍生品的相结合的多层次的市场格局。根据2011年底,在证监会等五家单位发布的《关于加强黄金交易所或从事黄金交易平台管理的通知》中明确了,仅有上海期交所和上海金交所可以设立黄金交易所或交易中心,其他任何单位及自然人均不具备该资格,更不得设立“场外”黄金交易平台。“地下炒金”即非法经营黄金期货行为,已被定性为违反我国黄金交易相关法规的违法行为。造成这些非法经营行为不断滋生、发展的原因是多样的。近年来,由“地下炒金”活动所引发的涉及非法经营的刑事案件数量明显上升。一系列问题由案而生,单位犯罪?行为人主观上是否具备“明知”故意,“明知”又应如何证明?涉外性质案件如何确定管辖权?为有效规制非法经营黄金期货行为,须坚持疏堵并行,在完善立法的基础上,改善监管体系,探寻监管合并、多方监管及归类监管等多重模式,同时学习发达国家的先进制度,将其经验与本国国情相结合以探索出更为科学合理的监管方式。

  [关键词] 黄金期货 法律规制 非法经营

  Abstract

  Gold is not only a commercial product, it is also used as a monetary carrier.

  With the increase of the level of national income,gold becomes more popular amongthe public and the public is finding a broader way of investment, as a result, itaffects Chinese financial market which makes the need of gold investment greater.

  According to “ issued by SFC and the other four divisions at December, 2011,apart from Shanghai Futures Exchange and Shanghai Gold Exchange , anyinstitutions, areas, individuals are not allowed to establish any Gold Exchange orExchange Centre, even not allowed to establish any gold exchange platform in anyother Gold Exchange or Exchange Centre.“Underground Gold Speculation” is anillegal way of managing Gold futures which is against Chinese law of gold trading.

  There are a variety of reasons giving rise to these illegal activities. In the latest years,“Underground Gold Speculation” has significantly enhanced the number of criminalcases involving illegal business. A series of problems are caused by these cases, arethey company crimes ? Does the person who commits the crime know it anddeliberately do it subjectively?How can we prove that he knows it?How can wemake sure the jurisdiction for cases involving oversea countries?For governingillegal gold futures trading more effectively , it is necessary to improve oursupervisory system,find a way of regulatory consolidation ,various regulation andclassified regulation on the basis of completed law.Meanwhile we should also learnthe advanced systems from other developed countries and discover a combination oftheir experience and our national conditions that can lead to a more scientific andreasonable way of regulation.

  [Key Words] financial market gold trading company crimes

  引 言

  上海市人民检察院 2013 年 5 月 8 日发布首个年度《上海金融检察白皮书》。

  该“白皮书”显示:上个年度(2012 年)上海检察机关办理的涉众型金融犯罪案件共计 134 件,在数量上与上海检察机关前 3 年办理的该类案件的总量持平;其中,涉及非法经营金融类型的案件共计 110 件,占到涉众型金融案件总量的 82%,然而,在非法经营金融业务类型的案件中,非法经营黄金期货案件又占到了该类案件总量的半数以上,可见,非法经营黄金期货的违法犯罪行为已经严重侵害了广大社会及公众投资者的经济利益。

  案件多发率居高不下、涉众型的因素不断增加,非法金融犯罪案件的类型也逐步由传统的集资诈骗型案件、非法吸收公众存款型案件,慢慢地发展到包括非法经营黄金期货、非法经营证券咨询业务、非法经营外汇保证金交易业务和擅自发行基金等在内的诸多案件类型。

  综合上述情形可知,在当前情势下,对我国非法经营黄金期货类型案件中出现的一类问题进行进一步的、更深层次的探讨和研究是有一定的必要性的。
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