金融系学年论文.doc

金融系学年论文我国证券市场内幕交易分析及监管系部金融系专业金融学年级 2011 级学号 1111010239 姓名王明明指导教师才凤玲 2013 年11月学年论文原创性声明本人郑重声明: 所呈交学年论文, 是本人在指导教师的指导下, 独立进行研究工作所取得的成果。除文中已经注明引用的内容外, 本论文不包含任何其他人或集体已经发表或撰写过的作品成果。对本文的研究做出重要贡献的个人和集体, 均已在文中以明确方式标明。本人完全意识到本声明的法律结果由本人承担。论文作者签名: 年月日目录摘要···························································································· Ⅰ Abstract ···························································································· Ⅱ一、我国证券市场内幕交易现状及存在的问题··································· 1 (一)我国证券市场现状························································· 1 (二)存在的问题·································································· 1 二、证券市场内幕交易的表现形式及特点·········································· 2 (一)内幕交易的表现形式······················································ 2 (二)证券市场内幕交易的特点················································ 2 三、我国证券市场内幕交易实证分析················································· 3 (一)我国证券市场内幕交易案例分析······································· 3 (二)我国证券市场内幕交易的负面影响···································· 4 四、加强我国证券市场内幕交易的监管············································· 5 参考文献········································································ 6 I 摘要证券市场是金融市场中重要的组成部分,直接关系着国家的经济发展。自我国证券市场建立以来, 毫无疑问的是伴随着一些不利因素成长起来。虽然有关部门为此建立了一定的法律体系和监管制度, 但是仍然有很多问题存在于证券市场。内幕交易就是最大问题之一。内幕交易是指内幕交易主体基于掌握的重大非公开信息, 以获取利益或规避损失为目的的证券买卖行为。这种行为不仅危害了广大股民的利益,还严重影响了证券市场的正常秩序。本文从证券市场内幕交易概念特点写起, 就存在的问题以及相关案例进行分析,提出我国证券市场内幕交易的监管措施及治理建议。关键词: 证券市场;内幕交易;监管措施;治理建议 II Abstract The securities market is an important part of the capital market, directly related to the economic development of the country. Since the establishment of China's securities market, there is no doubt with some unfavorable factors to grow up. Although the relevant departments for the establishment of the legal system and supervision system, but there are still many problems in the securities market. One insider trading is the biggest problem. Insider trading refers to the subject of insider trading based on the material nonp