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    政大機構典藏 > 法學院 > 法律學系 > 期刊論文 >  Item 140.119/81811


    Please use this identifier to cite or link to this item: https://nccur.lib.nccu.edu.tw/handle/140.119/81811


    Title: 論公司內部人出借股票的法律問題
    Other Titles: A Study of Legal Problems Arising from Securities Lending of Corporate Insiders
    Authors: 劉連煜
    Liu, Len-Yu
    Contributors: 法律系
    Keywords: 公司內部人;出借股票;證券借貸;套利;信用交易融券制度;資訊揭露;短線交易;內線交易;證券衍生性商品;公司治理
    Corporate insiders;Stock lending;Securities lending;Arbitrage;Short trading;Information disclosure;Short-swing trading;Insider trading;Securities derivatives;Corporate governance
    Date: 2014-03
    Issue Date: 2016-03-04 17:30:29 (UTC+8)
    Abstract: 目前我國證券主管機關禁止公司內部人出借自家證券。惟從各國（地區）有關證券借貸制度可知，各國（地區）並無明文禁止公司內部人出借證券之情形。對於我國禁止公司內部人出借證券之議題，本文研究結論認為，基於憲法上保護人民財產權，及有關財產權之使用、處分及收益，不應在法律無明文授權之情形下作不當限制之考量，我國法令似不宜禁止內部人之證券借貸行為，而應改採取開放之態度，對之輔以適當之管理措施，這樣才能與外國法制接軌，也才能配合我國證券市場國際化之目標。總之，本文研究認為，我國禁止公司內部人出借股票此一法律問題之適當解禁，對我國相關業者及公司內部人權益至為重要，主管機關似有重新審思之必要。另外，本文一併研究如允許開放公司內部人出借其持股時相關申報等管理之措施，以供證券主管機關管理上的參考。
    Taiwan’s securities regulators currently forbid corporate insiders from lending out their own corporate securities to others. After a thorough study, this article concludes that an appropriate and timely lifting of the abovementioned ban will be of direct relevance to the securities industry as well as the rights and interests of corporate insiders. It appears that there is a need for the securities regulators to reconsider the above de- regulation. In addition, this article also investigates what applicable rules are to be adopted by regulators once corporate insiders are permitted to lend out their own corporate securities.
    Relation: 政大法學評論,139,111-162
    Data Type: article
    Appears in Collections:[法律學系] 期刊論文

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