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| DC 欄位 | 值 | 語言 |
|---|---|---|
| dc.contributor.advisor | 蔡英欣 | zh_TW |
| dc.contributor.advisor | Ying-Hsin Tsai | en |
| dc.contributor.author | 李思琪 | zh_TW |
| dc.contributor.author | Laksiga Thanaphruet | en |
| dc.date.accessioned | 2023-03-19T23:26:57Z | - |
| dc.date.available | 2024-09-07 | - |
| dc.date.copyright | 2022-09-27 | - |
| dc.date.issued | 2022 | - |
| dc.date.submitted | 2002-01-01 | - |
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Report Investor Protection Center Compensation Distribution has not yet Been Collected Case Summary Table（投資人保護中心賠償款分配尚未領取案件彙總表），SFIPC （投資人保護中心）。 D. Internet Source Records of the Taiwan Open Insider Trading Case (台開內線交易案大事記 社會 中央社)，CNA， (2021), https://www.cna.com.tw/news/asoc/202110140306.aspx (last visited Jun 12, 2022)。 | - |
| dc.identifier.uri | http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/85866 | - |
| dc.description.abstract | 內線交易對法律系學生而言，並非相當新穎的議題，然而卻相當引人入勝。2021年初，泰國發生重大內線交易事件，最終卻未興起任何訴訟，不禁讓本文對內線交易法相關法制感到好奇。是否泰國之內線交易法制對一般投資大眾來說過於複雜？因而沒有人民敢於提起訴訟？或是現行法律制度存在什麼障礙讓人民難以獲得妥善的救濟？2016年，泰國修正內線交易法，使我對於目前正在攻讀碩士學位的所在國家—台灣之相關制度更加好奇，台灣之內線交易法制已行之有年，實務上亦出現不少案件，對內線交易所生之爭議也有相當充分之討論。因此，本文欲探討泰國與台灣的內線交易法制之異同，並反思泰國現行內線交易規範是否有應該被改善之處。 內線交易為證券市場違法交易行為之一。其主要概念為部分人士藉由其事先取得資訊而為相對之交易，然其他於資訊公開時始知悉該資訊之人卻無從得知，亦無法為交易決定，進而蒙受來自不公平資訊取得之不利對待。內線交易行為被認為先於他人而利用資訊所為的不公平行為。 本文將帶領讀者概覽內線交易法制。特別是本文的主要三個章節，將環繞在泰國及台灣內線交易法律規範之討論。第二章，本文將介紹泰國的內線交易規定以及資訊，內容將包含制度發展、現行規範以及重要判決整理。第三章，本文將簡單介紹台灣之內線交易法制，有鑑於本文係對於內線交易之基礎研究，因而欲自台灣法律基礎知識出發，並說明現行相關規範。第四章，本文將進行泰國跟台灣法律的比較法研究，由於兩國皆屬於大陸法系，惟其內線交易之細節規範仍有所不同。希冀得以藉由兩國法律之比較找出個別內線交易法制的優缺點，並探討泰國應如何借鏡。第5章，從我以上的發現給予結論。 | zh_TW |
| dc.description.abstract | Insider trading is not a new topic for law students, but it is an interesting one. In early 2021, a case occurred in Thailand that seemed to fall within the scope of the insider trading law, but any prosecution has not happened, which made me curious about the law. Is it too complicated for ordinary people or the investors to start the prosecution? Is there any obstruction from the current law? Thailand amended its insider trading law in 2016. . This idea lead me to become more curious about Taiwanese law where I am currently studying my master degree. For this reason, I decided to dig into both Thai and Taiwanese law. Insider trading is one of the illegal practices of trading on the stock exchange. The main idea is someone is able to access the information in advance and take unfair advantage from that information. Others who received the information at the informal publication will be at a disadvantage due to this inequitable access to information. This conduct is considered as an unfair action by using the information ahead of others. In this thesis, I will lead the readers to a journey of insider trading law. Particularly, the three main chapters of this thesis are surrounding the insider trading law of Thailand and Taiwan. In Chapter 2, I am going to introduce and explore my home country, Thailand. This chapter relates to Thai insider trading law; history of law, the development and current law, and also case law. Chapter 3 of this thesis, I will provide the readers the Taiwanese law. As the newbie to studying the Taiwanese insider trading, I will dig into the Taiwanese law, starting from the basic of law to the current law. Chapter 4, I will lead the readers to the comparative study between Thai and Taiwanese law. As both countries are a civil law system but there are some different inside. I will try to compare and find the pros and cons of each district’s law. In chapter 5, a conclusion will be given on all of these findings. | en |
| dc.description.provenance | Made available in DSpace on 2023-03-19T23:26:57Z (GMT). No. of bitstreams: 1 U0001-2309202204205400.pdf: 1856564 bytes, checksum: f6f7b37e7e999b7fa95bca25426e742e (MD5) Previous issue date: 2022 | en |
| dc.description.tableofcontents | ACKNOWLEDGEMENT ii 中文摘要 iii ABSTRACT v CONTENTS vii LIST OF FIGURES xi LIST OF TABLES xii Chapter 1 Introduction 1 1.1 Objective of the Study 4 1.2 Scope of the Study 6 1.3 Layout of the Thesis 7 Chapter 2 The Case of Insider Trading Law in Thailand 9 2.1 Introduction 9 2.2 History of the Securities Exchange of Thailand 10 2.2.1 Establishment of the Bangkok Stock Exchange 10 2.2.2 Establishment of the Stock Exchange of Thailand (SET) 11 2.3 Introduction to Thai Law 15 2.3.1 Before the Amendment of the Securities and Exchange Act B.E. 2559 (2016) 16 2.3.2 The Securities and Exchange Act B.E. 2559 (2016) 21 2.4 Case Study and Interesting Legal point 34 2.4.1 Case Study 34 2.4.2 Interesting Legal Point 43 2.5 Opinion and Suggestion 49 Chapter 3 The Case of Insider Trading in Taiwan 53 3.1 Introduction to the Taiwan Stock Exchange (TWSE) 54 3.2 Introduction to Taiwan Law 56 3.2.1 The Provision Related to Insider Trading Was Enacted For the First Time in 1988 57 3.2.2 The TSEA Amendment of 2000 58 3.2.3 The Amendment of 2004 58 3.2.4 The Amendment of 2006 59 3.2.5 The Amendment of 2010 60 3.3 The Recent Securities and Exchange Act Related to Insider Trading 61 3.3.1 Article 157-1 of TSEA 61 3.3.2 Penalties for Insider Trading 67 3.4 Case Study 68 3.5 Securities and Futures Investors Protection Center (SFIPC) 74 3.5.1 Introduction 74 3.5.2 Advantage for Investors 77 3.5.3 Case Study 81 3.6 Interesting Legal Point 83 3.7 Conclusion 87 Chapter 4 Comparative Study 88 4.1 Comparative Study in Terms of Regulations 88 4.2 Comparative of the Penalties 93 4.3 Comparative of the Investor Protection 98 4.3.1 Class Action (Thailand) V SFIPC (Taiwan) 98 4.3.2 Who Does the Compensation Belong To? 101 4.4 Time Consuming 102 4.5 Suggestion to Thai Legal System 109 4.5.1 Shall Thailand Recognize the Lockup period as Taiwan Does? 109 4.5.2 Considering the Establishment of Non-Profit Foundation for Investor Protection 110 4.5.3 Thai Regulators Shall Consider the Specific Provision for Investors to Claim Their Damages as Taiwan Does. 113 4.5.4 The Criminal Liabilities in Terms of Fine Shall Be Raised. The Severity of the Penalties is not Enough to Prevent the Offense. 114 4.5.5 Balance Between Faster Procedure and Severity of Punishment 115 4.5.6 Civil Sanction Can Be More Strengthen 117 Chapter 5 Conclusion 118 REFERENCE 125 LIST OF FIGURES Fig. 2.1 Average SET Index since 1975 - 2021 12 Fig. 4.1 Procedure for Civil Sanction 104 LIST OF TABLES Table 2.1 Yearly Market Statistics in Terms of Total Turnover, Daily Average Turnover Number of Transaction and Daily Average Transaction Deals from 2018 to 2021 14 Table 2.2 Yearly Cumulative Since 1 January to 8 July 2022 15 Table 2.3 Statistic of Insider Trading Case From 2007 to Early of December, 2016 19 Table 2.4 Comparison the SEA Between the 1922 Act and 2016 Act 33 Table 2.5 Statistic of Civil Sanction In Case of Insider Trading From 2017 to April 30, 2022 44 Table 4.1 Comparison Between Thai Law and Taiwan Law In Terms of Regulation 89 Table 4.2 Comparison Between Thai Law and Taiwan Law In Terms of Penalties 93 | - |
| dc.language.iso | en | - |
| dc.subject | 證券交易法 | zh_TW |
| dc.subject | 內線交易 | zh_TW |
| dc.subject | 内部人 | zh_TW |
| dc.subject | 泰國 | zh_TW |
| dc.subject | 台灣 | zh_TW |
| dc.subject | 行政制裁 | zh_TW |
| dc.subject | Taiwan | en |
| dc.subject | insider trading | en |
| dc.subject | insider | en |
| dc.subject | Securities and Exchange Act | en |
| dc.subject | Thailand | en |
| dc.subject | civil sanction | en |
| dc.title | 泰國與台灣內線交易法律之比較研究 | zh_TW |
| dc.title | Insider Trading Comparative Study between Thailand and Taiwan | en |
| dc.type | Thesis | - |
| dc.date.schoolyear | 110-2 | - |
| dc.description.degree | 碩士 | - |
| dc.contributor.coadvisor | 郭大維(Wei-Ta Kuo),楊岳平(Yueh-Ping Yang) | |
| dc.contributor.oralexamcommittee | 郭大維;楊岳平 | zh_TW |
| dc.contributor.oralexamcommittee | Wei-Ta Kuo;Yueh-Ping Yang | en |
| dc.subject.keyword | 內線交易,内部人,證券交易法,泰國,台灣,行政制裁, | zh_TW |
| dc.subject.keyword | insider trading,insider,Securities and Exchange Act,Thailand,Taiwan,civil sanction, | en |
| dc.relation.page | 139 | - |
| dc.identifier.doi | 10.6342/NTU202203875 | - |
| dc.rights.note | 同意授權(全球公開) | - |
| dc.date.accepted | 2022-09-26 | - |
| dc.contributor.author-college | 法律學院 | - |
| dc.contributor.author-dept | 法律學系 | - |
| dc.date.embargo-lift | 2022-09-27 | - |
| 顯示於系所單位： | 法律學系 | |
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| ntu-110-2.pdf | 1.81 MB | Adobe PDF | 檢視/開啟 |
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