摘要
"沪港通"机制的运行,促进了国内资本市场的开放,与此同时,新型跨境证券犯罪逐渐出现。由于沪港两地金融投资环境以及有关证券市场法律制度的差异,在跨境证券市场的监管上仍存在一些空白点,如内地对于证券投资者通过"港股通"在联交所交易港股而实施内幕交易等金融证券犯罪行为如何认定惩治,法律上并没有明确规定。完善跨境法律监管和合作,对于"沪港通"机制下证券犯罪的司法认定具有重要现实意义。
The operation of the "Shanghai Hong Kong Stock Connection" mechanism promotes the opening of domestic capital market.Meanwhile,it also propels the gradual emergence of cross-border security-related crime.Owing to differences in the financial investment environment between Shanghai and Hong Kong as well as the legal systems of the securities market,there are still some vulnerabilities in the supervision of cross-border securities markets.For example,there is no clear legal provision on how to identify and punish the criminal acts related with financial securities such as insider trading by securities investors via the "Hong Kong Stock Connection Program" to trade Hong Kong stocks on the stock exchange.Therefore,it is of great practical significance to improve cross-border legal supervision and cooperation as far as the judicial determination of security-related crimes under the "Shanghai Hong Kong stock connection" mechanism is concerned.
作者
于力
季敬聚
Yu Li;Ji Jingju(Branch No.1 of Shanghai People's Procuratorate,Shanghai 200052,China)
出处
《上海公安学院学报》
2020年第2期75-83,共9页
Journal of Shanghai Police College
关键词
沪港通
证券犯罪
内幕交易
刑事管辖
Shanghai Hong Kong Stock Connection
Security-Related Crime
Insider Trading
Criminal Jurisdiction
