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標題: | 我國內線交易罪量刑之實證研究 An Empirical Study of Sentencing for the Offence of Insider Trading in Taiwan |
作者: | Guo-Dong Wang 王國棟 |
指導教授: | 黃崇興(Chung-Hsing Huang) |
關鍵字: | 內線交易,量刑因素,量刑準則,罪責相當,比例原則,平等原則,連鎖比例法, insider trading,sentencing factors,sentencing criteria,commensurate guilt and liability,principle of proportionality,principle of equality,chain ratio method, |
出版年 : | 2018 |
學位: | 碩士 |
摘要: | 內線交易被視為所謂的白領犯罪,而白領犯罪者,往往因手段高明,又善於運用社會地位及豐厚財力,極力幫自己脫罪,或利用訴訟技巧,獲得輕判,甚至緩刑,免受牢獄之苦,並不符合社會正義。我國政府為從重處罰內線交易行為,經過多次修法,逐次調高法定刑度或處以更高的罰金,但在實施重罰之後,如果犯罪構成要件的規定不夠明確,刑度提高,法院態度更趨謹慎,論罪科刑可能更曠日廢時,而且,許多案件,因在偵查中自白,繳交犯罪所得,獲得減刑至2年以下有期徒刑,再獲緩刑,故因為內線交易而入監坐牢者,比例極低,能否因此重典政策而有效嚇阻此類犯罪,尚待觀察。
認定犯罪事實與刑罰裁量,併列為刑事審判最重要的兩大議題,也是具體實現國家刑罰權之方法。量刑是否具有妥當性,更是攸關國家人權、法治水準的關鍵成效指標。而影響量刑妥當與否之量刑歧異,因各國國情、法制之不同而呈現不同樣貌,但其為司法上之難題,舉世皆然,也是司法改革重點。借鏡、取法他國法制,整合我國法制、資源現況,建立本土化並禁得起科學方法檢驗之量刑準則,應為量刑改革之重要任務。 本文係介紹內線交易與刑罰的規範目的,觀察各國內線交易及量刑法制實施情形,以及我國內線交易、量刑法制實際運作現況,並從實務觀點出發,蒐集近10年來,30件內線交易罪確定判決為樣本,實際分析法官量刑現況,設定可能影響內線交易罪量刑的因素,再召開由法學教授、法官及檢察官等專家參與的座談,集思廣益,討論出內線交易罪應該主要考量的9個量刑因素,以隨機抽樣法決定次序,採連鎖方式設計、填寫問卷,以了解各該量刑因素所佔之比重,提供法官將來量刑的參考。茲就各章內容簡要說明如下: 第一章為緒論,說明本文之研究背景、動機、範圍與目的、方法。 第二章主要介紹內線交易及刑罰的規範目的,以及罪責相當、重複評價禁止、比 例、平等、個別化、獨立等量刑原則。 第三章為外國內線交易與量刑法制介紹,闡述美國、英國、德國及日本等國有關內 線交易及量刑的法制概況。 第四章說明我國內線交易及量刑法制之現況,並對我國刑法第57條所規定之抽象 量刑標準,逐一說明其具體內容,及釐清實務上對特定具體事由在量刑評價 上之疑義。 第五章為我國內線交易罪案例之實證分析,經由30件內線交易罪確定判決案例 的分析,了解目前量刑現況,選擇主要量刑因素,再透過與法學教授、法 官及檢察官等專家座談,了解各量刑因素所佔之比重大小。 第六章為結論與建議。經由上述各章節之分析探討,歸納出本論文研究結論, 並提出研究建議,建構更妥善且適合我國國情的量刑建議參考準則。 Insider trading is regarded as one of the so-called white-collar crimes, and more often than not, white-collar criminals use their best efforts to escape punishment by resorting to sophisticated means and shrewdness in using their social status and solid financial resources, or use litigation skills to obtain lighter sentences or even probation, thus freeing themselves from prison. Consequently, social justice is not served. In order to severely punish insider trading, the Government has repeatedly raised the statutory penalties or imposed higher fines through a series of amendments. However, if, after the implementation of heavier penalties, the requisite elements of the offence are not clear enough, the court will be even more cautious towards serving out a harsher sentence, hence increasing the likelihood of taking even more time for conviction and sentencing. Besides, in many cases, a sentence of no more than two years, along with an ensuing probation, is obtained due to confession during investigations and repaying criminal proceeds, thereby leading to an extremely low rate of imprisonment for insider trading. It remains to be observed whether this policy of heavier punishment can effectively deter such crimes. Determining criminal facts and meting out penalties are regarded as the two most important issues in criminal trials, which are also the specific means of realizing the state's penal power. Whether sentencing is appropriate or not is a key indicator of the effectiveness of a state's human rights and the rule of law. The differences in sentencing that affect the appropriateness of the sentencing vary from country to country because of the different conditions and legal systems among various nations. Nevertheless, it is a universal problem for the judiciaries of all nations, so is it a central issue in judicial reform. It should be an important task of sentencing reform to establish a set of localized sentencing guidelines that can pass the scrutiny of scientific methodology by means of borrowing or following the legal systems of other countries while integrating the current states of our legal system and various resources. This article introduces the normative purpose of insider trading and the penalties with respect thereto. It considers the implementation of the legal systems of various nations in regards to insider trading and the sentencing, as well as the current status of the actual operation of the insider trading and sentencing legal system in our country. Also, from the practical point of view, 30 final judgments concerning the offence of insider trading have been collected during the past 10 years as samples in analyzing the current situation of the judges' sentencing and setting the factors that may have affected the sentencing regarding the offence of insider trading. A brainstorming symposium among such experts as law professors, judges and prosecutors is then held to come up with the 9 major considerations regarding the sentencing for the offence of insider trading. The sequence of these sentencing factors are determined by random sampling method, with the chain method being adopted in designing and completing the questionnaire so as to understand the respective proportion for each sentencing factor, hence serving as a reference for the judges' future sentencing. A brief description of each chapter is summarized as follows: The first chapter is the introduction, which explains the research background, motive, scope, purpose and method of this thesis. The second chapter mainly introduces the normative purpose of insider trading and penalties, as well as the principles for sentencing, such as commensurate guilt and liability, bar from double evaluation, proportionality, equality, individualization and independence. The third chapter introduces foreign legal systems regarding insider trading and sentencing, expounding the legal systems of insider trading and sentencing in the United States, Britain, Germany and Japan. The fourth chapter explains the current situation of our country's insider trading and sentencing system, and explains the specific contents of the respective abstract sentencing criteria stipulated in Article 57 of the Criminal Code of R.O.C. while clarifying the dubious interpretations as to the specific reasons in practical sentencing evaluation. The fifth chapter is an empirical analysis of the offence of insider trading, which, through analyzing 30 conclusive judgments regarding the offence of insider trading, is intended to understand the current situation of sentencing, select the main sentencing factors, and then to understand the proportions of the various sentencing factors through discussions with such experts as law professors, judges and prosecutors. The sixth chapter contains conclusions and recommendations. Through the analyses and discussions presented in the previous chapters, the conclusions of this research thesis are summarized and the recommendations put forward, intending to construct a reference guideline for sentencing that is more appropriate and suitable for our country's national conditions. |
URI: | http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/21859 |
DOI: | 10.6342/NTU201804196 |
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顯示於系所單位: | 商學組 |
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