非法經(jīng)營黃金期貨案件的刑法問題研究 中英文摘要與引言

1、非法經(jīng)營黃金期貨案件的刑法問題研究 中英文摘要與引言溫馨提示：本篇為碩士論文部分中英文摘要與引言，如需查看完整碩士論文，請看本文末尾處。中文摘要黃金不僅是一種商品，也被用于貨幣的載體。伴隨社會發(fā)展的日新月異，公眾對黃金市場的走勢愈發(fā)關(guān)注，紛紛尋求更寬的投資渠道，我國金融市場對黃金投資的需求逐步升溫。我國的黃金市場已經(jīng)初步地形成了面向機(jī)構(gòu)和個人、現(xiàn)貨黃金與衍生品的相結(jié)合的多層次的市場格局。根據(jù)2011年底，在證監(jiān)會等五家單位發(fā)布的關(guān)于加強(qiáng)黃金交易所或從事黃金交易平臺管理的通知中明確了，僅有上海期交所和上海金交所可以設(shè)立黃金交易所或交易中心，其他任何單位及自然人均不具備該資格，更不得設(shè)立場外;黃金

2、交易平臺。地下炒金;即非法經(jīng)營黃金期貨行為，已被定性為違反我國黃金交易相關(guān)法規(guī)的違法行為。造成這些非法經(jīng)營行為不斷滋生、發(fā)展的原因是多樣的。近年來，由地下炒金;活動所引發(fā)的涉及非法經(jīng)營的刑事案件數(shù)量明顯上升。一系列問題由案而生，單位犯罪？行為人主觀上是否具備明知;故意，明知;又應(yīng)如何證明？涉外性質(zhì)案件如何確定管轄權(quán)？為有效規(guī)制非法經(jīng)營黃金期貨行為，須堅持疏堵并行，在完善立法的基礎(chǔ)上，改善監(jiān)管體系，探尋監(jiān)管合并、多方監(jiān)管及歸類監(jiān)管等多重模式，同時學(xué)習(xí)發(fā)達(dá)國家的先進(jìn)制度，將其經(jīng)驗與本國國情相結(jié)合以探索出更為科學(xué)合理的監(jiān)管方式。關(guān)鍵詞 黃金期貨 法律規(guī)制 非法經(jīng)營AbstractGold is no

3、t only a commercial product， it is also used as a monetary carrier.With the increase of the level of national income，gold becomes more popular amongthe public and the public is finding a broader way of investment， as a result， itaffects Chinese financial market which makes the need of gold investmen

4、t greater.According to issued by SFC and the other four divisions at December， 2011，apart from Shanghai Futures Exchange and Shanghai Gold Exchange ， anyinstitutions， areas， individuals are not allowed to establish any Gold Exchange orExchange Centre， even not allowed to establish any gold exchange

5、platform in anyother Gold Exchange or Exchange Centre.Underground Gold Speculation; is anillegal way of managing Gold futures which is against Chinese law of gold trading.There are a variety of reasons giving rise to these illegal activities. In the latest years，Underground Gold Speculation; has sig

6、nificantly enhanced the number of criminalcases involving illegal business. A series of problems are caused by these cases， arethey company crimes ？ Does the person who commits the crime know it anddeliberately do it subjectively？How can we prove that he knows it？How can wemake sure the jurisdiction

7、 for cases involving oversea countries？For governingillegal gold futures trading more effectively ， it is necessary to improve oursupervisory system，find a way of regulatory consolidation ，various regulation andclassified regulation on the basis of completed law.Meanwhile we should also learnthe adv

8、anced systems from other developed countries and discover a combination oftheir experience and our national conditions that can lead to a more scientific andreasonable way of regulation.Key Words financial market gold trading company crimes引 言上海市人民檢察院 2013 年 5 月 8 日發(fā)布首個年度上海金融檢察白皮書。該白皮書;顯示：上個年度（2012 年）上海檢察機(jī)關(guān)辦理的涉眾型金融犯罪案件共計 134 件，在數(shù)量上與上海檢察機(jī)關(guān)前 3 年辦理的該類案件的總量持平；其中，涉及非法經(jīng)營金融類型的案件共計 110 件，占到涉眾型金融案件總量的 82%，然而，在非法經(jīng)營金融業(yè)務(wù)類型的案件中，非法經(jīng)營黃金期貨案件又占到了該類案件總量的半數(shù)以上，可見，非法經(jīng)營黃金期貨的違法犯罪行為已經(jīng)嚴(yán)重侵害了廣大社會及公眾投資者的經(jīng)濟(jì)利益。案件多發(fā)率居高不下、涉眾型的因素不斷增加，非法金融犯罪案件的類型也逐步由傳統(tǒng)的集資詐騙型案件、非法吸收公眾存款型案件，慢慢地發(fā)展到包括非法經(jīng)營黃金期貨、非法經(jīng)營