证券犯罪适用刑法从业禁止分析  

Analysis on the Application of Criminal Law to Prohibition of Securities Crimes

作　　者：张莹[1,2] 宋慧 Zhang Ying;Song Hui(Tianjin University of Finance and Economics,Tianjin 300221;Tianjin Yiqing Law Firm,Tianjin 300193)

机构地区：[1]天津财经大学,天津300221 [2]天津益清律师事务所,天津300193

出　　处：《天津法学》2024年第1期95-103,共9页Tianjin Legal Science

基　　金：国家社科基金项目“检察案例指导制度的理论创新与实务提升”的阶段性成果,项目编号:21FXB011。

摘　　要：随着证券犯罪相关罪名越发丰富,对应的刑罚也需要进化,但以自由刑和财产刑结合的主流判决模式聚焦人身与财产的惩罚,难以防范社会总福利损失大、从业者重复犯罪便利等风险。《刑法修正案(九)》将从业禁止制度写入《刑法》,为制裁和预防证券犯罪提供了途径,但目前有且仅有一个刑事判例。刑事从业禁止适用的不足引发了对于行刑衔接、推广适用等问题的思考。同时,为实现治理证券犯罪绩效最大化而探究证券犯罪适用刑法从业禁止的实施路径,提高刑罚准确性、与犯罪行为的适配度,精准打击犯罪,对冲证券犯罪的负外部性效应。With the increasing abundance of securities related crimes,corresponding punishments also need to evolve.However,the mainstream judgment model that combines free punishment and property based punishment focuses on personal and property punishment,making it difficult to avoid risks such as significant social welfare losses and the convenience of repeated crimes by practitioners.The Ninth Amendment to the Criminal Law incorporates the prohibition of employment system into the criminal law,providing a means to sanction and prevent securities crimes.However,there is currently only one criminal precedent.The inadequacy of the application of the prohibition on criminal practice has led to reflections on issues such as the connection of execution and the promotion of its application.At the same time,in order to maximize the performance of securities crime governance,we will explore the implementation path of applying criminal law prohibition to securities crimes,improve the accuracy of punishment and the adaptability of criminal behavior,accurately combat crime,and hedge the negative externalities of securities crimes.

关 键 词：证券犯罪 从业禁止 市场禁入 

分 类 号：D922.287[政治法律—经济法学]