操纵证券交易价格行为及其治理对策  

On the Countermeasures against Manipulating the Dealing in Securities

作　　者：赵运锋[1] 

机构地区：[1]上海交通大学法学院,上海200240

出　　处：《广东金融学院学报》2008年第6期65-73,共9页Journal of Guangdong University of Finance

摘　　要：操纵证券交易价格的行为是资本市场的客观现象,不必禁止此类行为,只需将其限制在资本市场能承受的限度之内。治理证券价格操纵行为必须借助刑法;彰显其及时性、严厉性、确定性;完善前置刑法制度;基于信托责任、民事责任与行政责任等层面,构筑治理证券价格操纵行为的预防体系。Manipulating the dealing in securities is an objective phenomenon. Therefore, it is unnecessary to ban such act, but control it within the limit. In order to control the market manipulation, it is necessary to make use of the criminal law, moreover, emphasize its characteristics, such as the timeliness, severity and determinacy. At the same time, it is important to improve the pre - criminal law system and establish the prevention system of the control the market manipulation based on the non - criminal responsibility as well, including the trust duty, the civil liability and the administrative responsibility.

关 键 词：操纵证券交易价格 刑法谦抑性 信托责任 市场禁入 

分 类 号：F830.91[经济管理—金融学]