| Summary: | 碩士 === 國立臺北大學 === 法律學系一般生組 === 97 === Pertaining to the insider trading issue, in contrast to other available literatures in Taiwan ― whether it is a textbook, a journal, or an academic dissertation ― the focus is, almost without exception, exclusively on the insider trading lawmaking or rules of the United States, Japan, the European Union and other related judicial practices and doctrines. This thesis is to present the Securities Exchange Act and the relevant regulations in Taiwan as the research topic. Furthermore, it talks about the issue of criminal liability of insider trading based on the criminal “Tatbestand” theory in Taiwan as well as the criminal principles of law of the legal state of the continental legal system. In other words, as far as the domestic law is concerned, the current thesis discusses about only the criminal liability of insider trading.
The themes of this thesis are as the following: chapterⅠdiscusses the differences between a material information and an inside information, and then points out the legislative error of the insider trading regulation in Taiwan; chapter II briefly introduces the legislative evolution of the Article 157－1 of Securities Exchange Act in Taiwan; chapterⅢ points out the source of law of the “insider trading” regulation and its punishability; chapter Ⅳ analyzes the “insider trading” regulation based on the criminal “Tatbestand” theory in Taiwan. Also, it talks about the relevant problems with the criminal principles of law of the legal state, and even provides legal advices to modify the regulation; chapter Ⅴ studies and comments on certain practical cases of insider trading; chapter VI, in conclusion, provides the legal advices to modify the regulations ― with its focus on the criminal liability only.
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