涉生成式人工智能证券、期货犯罪的刑法完善  

Improvement of Criminal Law on Securities and Futures Crimes Involving Generative Artificial Intelligence

作　　者：刘宪权[1] 余越洋 LIU Xianquan;YU Yueyang(School of Criminal Law,East China University of Political Science and Law,Shanghai 200042,China)

机构地区：[1]华东政法大学刑事法学院,上海200042

出　　处：《浙江工商大学学报》2024年第3期47-57,共11页Journal of Zhejiang Gongshang University

基　　金：国家社会科学基金重大项目“网络时代的社会治理与刑法体系的理论创新”(20&ZD199)。

摘　　要：涉生成式人工智能证券、期货犯罪行为类型可分为非法控制市场信息和非法控制市场两类。现行规制生成式人工智能应用的前置法缺少技术性规范与周延性规范。现行《刑法》无法追究涉生成式人工智能证券、期货犯罪中研发者、生产者的过失责任,也无法规制“滥用技术优势”非法控制市场的行为。立法者应当完善生成式人工智能应用的前置法规定,量化智能化程度认定标准,禁止证券、期货领域生成式人工智能非法分析数据行为并限制其应用范围。应当建立以非法分析数据罪、操纵数据罪、数据安全责任事故罪为核心的涉生成式人工智能算法失范行为刑法规制体系。以数据安全责任事故罪追究研发者、生产者的过失责任。应当增加“滥用技术优势”作为操纵证券、期货市场罪的行为类型。The types of securities and futures crimes involving generative artificial intelligence can be divided into two categories:illegal control of market information and illegal control of the market.The current pre-regulation for the application of generative artificial intelligence lacks technical norms and periodic norms.The current criminal law is not able to pursue the negligence of the developers and producers,nor can it regulate the behavior of“abusing technological advantages”.Legislators should improve the pre-regulation for the application of generative artificial intelligence,quantify the standard for determining the degree of intelligence,prohibit the illegal analysis of data by generative artificial intelligence in the field of securities and futures,and limit its scope of application.It is necessary to establish the criminal regulation system of generative artificial intelligence algorithm misconduct with illegal data analysis crime,data manipulation crime and data security responsibility accident crime as the core.To pursue the negligence of the developers and producers with data security responsibility accident crime,“abusing technological advantages”should be added as a type of behavior for the crime of manipulating securities and futures markets.

关 键 词：生成式人工智能 证券期货犯罪 操纵市场犯罪 

分 类 号：D924[政治法律—刑法学]