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Please use this identifier to cite or link to this item: http://ntour.ntou.edu.tw:8080/ir/handle/987654321/52201

Title: 內線交易罪消息之時點認定爭議-以普訊案為核心
The crime of insider trading point message finds dispute - in the case of core WK Technology
Authors: Chen, Mei-Lin
陳美鈴
Contributors: NTOU:Institute of the Law of the Sea
國立臺灣海洋大學:海洋法律研究所
Keywords: 內線交易;資訊平等;健全市場理論;信賴關係理論
Insider Trading;Parity in Information;Market Integrity Theory;Fiduciary Relations Theory
Date: 2018
Issue Date: 2019-05-23T06:24:51Z
Abstract: 普訊案的發生,是由被告多位好友發表共同聲明透過電視、報紙及網絡,大聲疾呼司法不公,引起社會極大關注。本文之研究著重於我國證券交易法中內線交易之起源、修法過程、美國內線交易理論形成過程及運用在我國司法實務上導致司法判決發生歧異;內線交易罪消息之時點認定爭議,最高法院判決書評析、及非常上訴探討。 以內線交易罪消息之時點認定爭議為基礎,研究禁止內線交易行為定義及法源,對於重大消息時點爭議之認定;涵蓋範圍有美國聯邦證券管理委員會提出Rule 10b-5、我國內線交易之構成要件、刑事責任及三倍賠償之問題、損害賠償額之範圍與計算及犯罪所得計算、美國聯邦最高法院對未公開消息是否重大判斷標準及學者對綠點與捷普公司簽訂無拘束力投資意向書見解等。簽署「無拘束力意向書」回傳予美商捷普公司即為犯罪事實,觀諸我國刑法或證券交易法似無此項規範,其次修法前並無「自行或以他人名義」部分為構成要件,似乎有違罪刑法定原則之虞,再者是否有利於被告應由被告決定,並非法官認定;希冀透過本文之研究能夠給予現行法規政策為有效且可行的建議。 法官是國家公僕並非獨裁者,推動司法轉型正義,應就法官判決書內容應由學者、專家或社會賢達人士共同為指摘,才有與時俱進的進步空間,俾使判決書為一般人理解並且為被告所信服。
The general case was that a large number of friends of the defendant issued a joint statement saying loudly about unfair justice through television, newspapers and the Internet, arousing great concern in the community. The research of this article focuses on the origins and the revision process of the insider trading in China's Securities Exchange Act, the forming process of the insider trading theory in the United States and the discrepancies in judicial decisions caused by the use of the judicial practice in our country. The disputes over the inside information of the insider trading dispute, the Supreme Court's judgment Comment, and very appealing discussion。 To consider the definition of the insider trading prohibition and the source of law based on the dispute at the time point of the insider trading crime information, and to identify the controversy over the major news at a time. The scope of the rule is Rule 10b-5 proposed by the U.S. Securities and Exchange Commission, Constitutive elements, criminal liability and triple compensation issues, scope and calculation of damages and calculation of crime proceeds, whether the US Supreme Court made a material judgment on undisclosed judgments and scholars signed a non-binding investment in Green Point and Jabil Opinion ideas and so on. It is a criminal offense to sign a "Letter of Unconciled Letter of Intent" and return it to JTI Company. The concept of criminal law or securities transaction in our country seems to be without such norms. Secondly, there is no constitution "on its own or in the name of others" It seems that there is danger of the statutory principle violating the criminal punishment, and whether it is in favor of the accused should be decided by the defendant. It is not the judge's determination; hopefully, the present study can give the current statutory and regulatory policies an effective and feasible suggestion。 Judges are not state dictators but state dignitaries, and justice should be promoted. There should be room for progress in keeping up with the times so that judgments of judges should be jointly criticized by academics, experts or community leaders, so that judgments can be understood by the average person and defendants Convinced
URI: http://ethesys.lib.ntou.edu.tw/cgi-bin/gs32/gsweb.cgi?o=dstdcdr&s=G0010374006.id
http://ntour.ntou.edu.tw:8080/ir/handle/987654321/52201
Appears in Collections:[海洋法律研究所] 博碩士論文

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