擅自發行股票、公司、企業債券罪的構成研究-藏刊網

摘要

對于我國而言，證券市場在1959年-1978年的這二十多年間基本都是處于消失狀態的，自然也就不存在與規范證券市場息息相關的擅自發行股票或者公司、企業債券方面的犯罪了，直到黨的十四大召開以后，股票及公司、企業債券才開始出現。作為非法集資類犯罪的罪名之一，擅自發行股票、公司、企業債券罪在司法實踐中并不多見，學術界對本罪的研究成果也是寥寥無幾，但隨著市場經濟的進一步發展，經濟活動的復雜性也隨之加大，因此我們有必要了解清楚在《刑法》第179條規定的擅自發行股票、公司、企業債券罪的一般犯罪構成，包括如何區分此罪與彼罪、罪與非罪；通過為數不多的實際案例（上海安基公司擅自發行股票案、李健民、萬善頤、阮慶生擅自發行公司債券案等），可以更為直觀地了解本罪常見的犯罪模式；同時，盡管在實踐中，大家對本罪的犯罪構成形成了較為統一的觀點，但理論界對犯罪主體（一般主體還是特殊主體）、主觀方面（直接故意還是間接故意）、犯罪客體（復雜客體還是簡單客體）、客觀方面（超額發行、數額巨大）等方面仍存在一些爭議；尤其是在如今證券發行注冊制的呼聲曰益高漲的今天，似乎本罪已無存續的必要，但注冊制不等于放開一切，即使證券發行市場真的實行了注冊制，證券發行人仍然需要向證券監督管理機構提供與證券發行相關的文件材料等，如若其提供的文件材料不符合法定形式審查的相關條件或是根本沒能提交或是提交后還未經過法定時間等就開始向公眾公開發行證券，這種行為仍然構成“擅自發行”行為，這種行為仍然破壞了國家證券發行市場的管理秩序，仍然需要對這類行為人處以擅自發行股票、公司、企業債券罪，本罪仍然有其存續的價值。

關鍵詞：證券市場；非法集資類犯罪；證券發行注冊制；擅自發行

ABSTRACT

As for our country, due to the fact that the securities market was generally in a state ofdisappearance during the twenty years from 1959 to 1978,there is naturally no bonds of thecrime closely related to the arbitrary issuance or corporation or enterprise stock with thestandardized securities market,however,stocks,corporate bonds and the company began toappear until the party held on the 14th meeting. As one of criminal charges of illegal fund raising,itis rare to issue shares, company, enterprise bonds without authorization in the judicialpractice,what's worse, it is also a few about the academic research results of this crime, giventhat the further development of market economy as well as the increasingly intense of thecomplexity of economic activity,it is necessary to clearly know the general crime constitution ofarbitrary issuance of company, corporate bonds, including how to distinguish between this crimeand that crime,crime and not crime according to the article 179 in penal law. Through one of fewreal cases （like Shanghai company issue stock case,the issuance of company bonds case withoutauthorization from li Jianmin, Wan Shanyi' Ruan Qingsheng, etc.）， the people can be moreintuitive to understand the common criminal patterns. At the same time, even though the peopleformed a unified view on the crime constitution of this crime in practice, there are still somecontroversy about the criminal subject （general or special subject） or subjective aspect （direct orindirect intentional） or crime object （complex object or simple object）， or the objective aspect（excess issuance; huge number）， etc. in the theoretical circle. In particular, nowadays theregistered system of stock issue is so increasingly rising that there is seemingly no necessity for thiscrime to survive, but the registration system is not equal to leave anything alone, even if thesecurities issue market really implemented the registration system, securities issuers still need toprovide to the securities supervision and administration department some documents materialabout securities issue,etc. If the document materials provided by the securities issuers do notconform to the statutory form or did not submit or began to issue securities to the public withoutthe statutory time,such as this kind of behavior still formed a arbitrary issuance behavior, thisbehavior still destroy the management order of the securities issue market in our country, and theoffenders who take part in the issuance of shares,company,corporate bonds withoutauthorization deserve the convict from the penal law,therefor, this crime still has its existencevalue.

KEY WORDSs the securities market; illegal fund raising; the registered system of stock;a arbitrary issuance behavior

摘要

ABSTRACT

1擅自發行股票、公司、企業債券罪的立法背景和一般犯罪構成

1.1擅自發行股票、公司、企業債券罪的立法背景

1.2擅自發行股票、公司、企業債券罪的一般犯罪構成

1.2.1擅自發行股票、公司、企業債券罪的主體及主觀方面界定

1.2.2擅自發行股票、公司、企業債券罪的客體界定

1.2.3擅自發行股票、公司、企業債券罪的客觀方面界定

1.3擅自發行股票、公司、企業債券罪的若干界限

1.3.1擅自發行股票、公司、企業債券罪與非罪的界限

1.3.2擅自發行股票、公司、企業債券罪與相關罪名的界限