Violation Of Duties Behavior. Securities Professionals Criminal Regulation Studies

In recent years, with the development of financial in national economy the core action to be highlighted increasingly, the importance is self-evident securities, its involve an area wide, trading of large amount of funds, the financing of capital play a decisive role. At the same time, the stock has become a lawless elements to hunt a huge wealth of target, some securities practitioners also embrace the luck, adding fuel to the flames, trying to exploit loopholes in the law, pursue wealth, to the law seriously lack of awareness of illegal behavior, the harmfulness of lack of cognition, using power manipulation, fraud, embezzlement and other behavior repeatedly prohibition.Investigate its reason, although the stock market gradually mature and need to pay a certain cost is inevitable, also have system to construct the mechanism of the oversight, and stock rights of the global aphasia. However the securities practitioners violates duty behavior punishment is one of the reasons which can not be ignored, this article is to select the object of economic criminal law, this angle of view, carefully combing the securities practitioners violates duty behavior criminal regulation, regulation of reason analysis on regulation, make evaluation and puts forward some improvement suggestions.Securities practitioners violates duty regulation of criminal law has experienced from the identity of regulation to the behavior regulation changes, experienced from punishment to administrative change, reflected the economic criminal law a certain development, but also show the macro historical context of economic law. Although the various branches of law are different from other branches of law basis, but are increasingly different degrees of fusion to participate in the governance of a country, the creation of good human nature, eventually forming a multilevel regulation system.A careful analysis of the securities practitioners violates duty behavior undertakes the civil liability, administrative responsibility and criminal responsibility in current situation, discuss any kind of responsibility also has the intrinsic and extrinsic contradiction or conflict. Point out the civil, administrative and criminal liability of the levels and stages, will inevitably lead to the regulation of securities practitioners violates duty behavior only in civil liability incomplete and administrative penalties under the condition of failure, is further used to undertake criminal responsibility to safeguard the security of security and protection of interests in securities is necessary, and then construct effective independent non punishment system to regulate the securities practitioners' breach of duties.A comprehensive review on China's securities practitioners in the regulation process, summed up the law in the regulation of securities practitioners violates duty behavior problems. Thinking deeply about the regulation of criminal law against the utilitarian color at will, in the field of illegal crime reality; while exploring the regulation of criminal law against the securities practitioners violates duty behavior, from complementary properties, show the criminal regulation and state intervention, control economy agree, it is this to the operation of the economy setting regulation or prohibit the field as the prerequisite, and the regulation or prohibition of the area was declared, to violate behavior to punish the way to deepen understanding of economic criminal law. This is the order of normative obligations derived from set or default rights deprived, leading to securities practitioners violates duty behavior regulations of the criminal law is different from the traditional sense of the person, property violations of criminal law system, and then in philosophy, disciplinary and so on be quite different.