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欧盟关于市场操纵的定义及其特点 被引量：8

EU Characteristics and Definition on Market Manipulation
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摘要 2001年以来,欧盟在市场操纵定义的立法方面取得了较大突破,逐步形成了独具特色的市场操纵定义。本文以欧盟指令为依据,从市场操纵的原则性定义、市场操纵的征兆以及被许可的市场行为等三方面分析欧盟关于市场操纵的定义及其特点,并为我国定义市场操纵提出相关建议。 Since the year of 2001, EU took a great stride in provisions on market manipulation, which are distinguished from other parrs of the wortd. This paper is a review of EU characteristics and definitions on market manipulation in terms of its definition of principles, symptoms as well as authorized activities, in hope to offer positive suggestion to Chinese context.
作者 唐洪敏
机构地区 北京大学光华管理学院
出处 《证券市场导报》 北大核心 2005年第8期72-77,共6页 Securities Market Herald
关键词 欧盟 市场操纵 证券市场 监管体系 EU market manipulation definition
分类号 F831.51 [经济管理—金融学]
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参考文献8

  • 1Directive 2003/6/EC of the European Parliament and of the Council of 28 January 2003 on insider dealing and market manipulation (market abuse) (Ref:OJ L 96, 12.4.2003, p. 16).
  • 2Commission Directive 2003/124/EC of 22 December 2003 implementing Directive 2003/6/EC of the European Parliament and of the Council as regards the definition and public disclosure of inside information and the definition of market manipulation (Ref: OJ L 339,24.12.2003. D. 70).
  • 3Commission Directive 2004/72/EC of 29 April 2004 implementing Directive 2003/6/EC of the European Parliament and of the Council as regards accepted market practices, the definition of inside information in relation to derivatives on commodities, the drawing up of lists of insiders, the notification of managers' transactions and the notification of suspicious transactions (Ref: OJ L 162,30.04.2004.p. 70).
  • 4CESR' s Advice on possible Level 2 Implementing Measures for the Proposed Market Abuse Directive (Ref:CESR/02.089b).
  • 5CESR' s Advice on Level 2 Implementing Measures for the Proposed Market Abuse Directive (Ref: CESR/02.089d).
  • 6Market Abuse: Additional Level 2 Implementing Measures Consultation Paper (Ref: CESR/03-102b).
  • 7Advice on the Second Set of Level 2 Implementing Measures for the Market Abuse Directive. (Ref: CESR/03-212c).
  • 8Additional Level 2 Implementing Measures for the Market Abuse Directive Feedback Statement (Ref: CESR/03-213b).

同被引文献69

引证文献8

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证券市场导报
2005年 第8期

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