法益视角下证券内幕交易罪主体范围的规范构造  

The Normative Construction of the Subject Scope of the Crime of Securities Insider Trading from the Perspective of Legal Interest

作　　者：赵姗姗 Zhao ShanShan

机构地区：[1]西北政法大学刑事法律科学研究中心,陕西西安710100

出　　处：《政治与法律》2018年第10期43-56,共14页Political Science and Law

基　　金：本文系司法部国家法治与法学理论研究一般项目“中国资本市场刑法保护研究”(项目编号:17SFB2018)的阶段性成果。

摘　　要：我国证券内幕交易罪的主体范围尚不清晰,现行法上数量繁多的规范采用了不同的主体识别标准,造成了实务中法律适用的难题。关于如何重构该罪主体的范围,当前我国学界存在"知悉"标准与"信义"标准之争,但实质依旧未摆脱美国的模式。因中美两国法律传统的差异,美国诸多理论并不适合我国的司法实务。应当从我国犯罪论体系出发,从行为所侵害的法益(客体)角度划定证券内幕交易罪主体的外延。同时,应选择性地借鉴同样以法益视角划定主体范围的日本《金融商品交易法》的立法经验,尝试对我国证券内幕交易罪的主体范围进行规范重构。The scope of the subject of the crime of insider trading in China has not been clarified yet.A number of norms of the current laws adopt different standards to identify the subject of the crime,leading to tricky issues in applications in practice.There are contesting standards of“knowing”and“faith”in the academic field of China regarding how to redefine the subject of the crime,while both of them are still the US model in essence.Due to the differences between legal traditions of China and the US,many US theories are not suitable in the judicial practice of China.The scope of the subject of the crime of insider trading should be defined from the perspective of the legal interest(object)injured by the criminal act,based on the criminal theory system of China.Meanwhile,China shall selectively refer to the legislative experience of Japan in enacting the Financial Instruments and Exchange Law which also defines the scope of the subject from the perspective of legal interest,in order to try to redefine the scope of the subject of the crime of insider trading in China.

关 键 词：证券内幕交易罪 知情人 非法获取内幕信息的人 日本法 金融商品交易法 

分 类 号：DF623[政治法律—刑法学]