跨境证券犯罪管辖的理论辨析与制度构建  

Theoretical Justification and System Construction on Extraterritorial Jurisdiction of Securities Crimes

作　　者：庞一然 吴春妹 PANG Yi-ran;WU Chun-mei(School of Law,University of Chinese Academy of Social Sciences,Beijing 102488,China)

机构地区：[1]中国社会科学院大学法学院,北京102488 [2]北京市人民检察院第三分院,北京100022

出　　处：《山西师大学报（社会科学版）》2024年第3期14-23,共10页Journal of Shanxi Normal University(Social Science Edition)

基　　金：国家检察官学院科研基金资助项目(GJY2022C03)。

摘　　要：以交易地作为跨境证券犯罪管辖地的“主场原则说”,忽视对于违反证券行政管理规范责任与证券欺诈行为责任的类型区分,对跨境证券犯罪的社会危害性评价并不完整,同时混淆立法管辖权与司法管辖权的界分,故需要重新辨析其作为确定跨境证券犯罪管辖权的理论依据。新修订《证券法》的域外管辖权条款与刑法总则关于域外效力的规定,是互补关系,而非排斥关系。对于我国跨境证券犯罪管辖制度的构建,应当在立法管辖权层面积极主张管辖权,在司法管辖权层面进行个案管辖便宜性的判断,在法律适用层面合理地采取实质解释方法,从而正确行使对跨境证券犯罪的管辖权,维护我国证券市场的国际声誉和竞争力。Focusing on the market where securities transactions take place,the home field principle,as one of popular theories on extraterritorial jurisdiction of securities crimes,fails to recognize the difference between liability in violation of securities administrative rules and liability on securities fraud,make comprehensive evaluation of the social harmful effect thereof and distinguish prescriptive jurisdiction from adjudicative jurisdiction.As a result,the home field principle falls short of being the theoretical basis for extraterritorial jurisdiction of securities crimes.The latest revised Securities Law of China establishes its extraterritorial clause with a supplementary effect to the extraterritorial jurisdiction provisions under the Criminal Law.In order to achieve correct extraterritorial application of the Criminal Law on transnational securities crimes and maintain good international reputation and competing capability of domestic securities market,it is suggested that the prescriptive jurisdiction must be recognized positively and the adjudicative jurisdiction be evaluated for the sake of convenience to determine a case.Moreover,the application of the Chinese Criminal Law shall adopt a substance-over-form principle for construction.

关 键 词：跨境证券犯罪 立法管辖权 司法管辖权 主场原则说 

分 类 号：D924.3[政治法律—刑法学] D922.287[政治法律—法学]