数据交易场所监管义务及归责分析

Analysis of Regulatory Obligations and Liability in Data Trading Venues

摘要: 本文旨在探究数据交易场所监管义务的刑法介入正当性及归责路径，以解决当前数据交易市场快速发展与刑事规制滞后间的制度张力。通过比较法分析国外“看门人”责任制度演进，结合我国《数据安全法》《刑法修正案之(九)》等规范体系，系统论证数据交易场所监管义务的法理基础与实践逻辑。数据交易场所的监管义务源于“看门人”理论的发展完善、数据交易场所的职能定位及内部技术控制力；在归责路径上，根据不作为形态差异构建“单独责任–共同责任–帮助行为正犯化”的层次化刑事归责体系。同时，在数据交易场所不履行监管义务的刑事责任认定上，需要以“功能性法秩序统一”原理整合行刑责任边界，坚持“动态平衡与刑行协同”的原则，为数据要素市场化改革提供刑事法治保障。

Abstract: This paper aims to explore the legitimacy of criminal law intervention in the regulatory obligations of data trading venues and the imputation path, so as to address the institutional tension between the rapid development of the current data trading market and the lagging criminal regulation. Through a comparative legal analysis of the evolution of the “gatekeeper” liability system abroad and in combination with China’s legal norm system, this paper systematically demonstrates the jurisprudential basis and practical logic of the regulatory obligations of data trading venues. The regulatory obligations of data trading venues stem from the development and improvement of the “gatekeeper” theory, the functional positioning of data trading venues, and their internal technical control capabilities. In terms of the imputation path, a hierarchical criminal imputation system of “individual liability-joint liability-principal offenderization of assisting acts” is constructed based on the differences in the forms of omission. At the same time, in the determination of the criminal liability of data trading venues for failing to fulfill their regulatory obligations, it is believed that the principle of “functional legal order unity” is needed to integrate the boundaries of administrative and criminal responsibilities, and the principles of “dynamic balance and coordination between criminal and administrative actions” should be adhered to, so as to provide criminal legal protection for the market-oriented reform of data factors.