摘要
我国股市近年来呈现出暴涨暴跌的态势，这与股票市场参与者伦理缺失的行为有关。以2001～2010年中国证监会公布的行政违法行为处罚公告为样本，从行为的方式、主体、市场环节、载体等多个层面进行实证分析，并加以解释；再从伦理道德的角度分析股市中的各类参与者，包括筹资者、投资者、中介服务结构、金融监管者从事证券违法行为的内在原因，指出导致这些伦理缺失行为的人文根源在于理性经济人的贪婪本性和由此导致的伦理道德的沦丧。
In recent years, China＇s stock market rose and fell suddenly and sharply, which had something to do with ethical missing behavior of financial market participants. This paper does empirical analysis on illegal behaviors in the stock market from the aspects of behavioral pattern, behavioral subject, market link and market carrier, which were disclosed by China Securities Regulatory Commission from 2001 to 2010. Then, we analyze the internal reasons why these market participants, including financiers, investors, agencies and even regulators engaged in securities violations in term of ethics, pointing out that the greed and ethical declining are the key reasons for these violations.
出处
《成都理工大学学报（社会科学版）》
2011年第5期19-25,共7页
Journal of Chengdu University of Technology:Social Sciences
基金
2010年国家社科基金项目"金融伦理视角下的防范股市暴涨暴跌对策研究"(10CJY073)
西南财经大学"211"三期项目基金
关键词
证券违法行为
金融伦理
诚信
securities violations
financial ethics
integrity
