刑事从业禁止制度在证券犯罪中可适用性分析——以宁某内幕交易案为切入点

The Applicability Analysis of the Prohibition System of Criminal Employment in Securities Crime—Taking Ning’s Insider Trading Case as the Starting Point

摘要: 证券行业是国家市场经济的重要领域，对于国家金融安全造成严重危害和巨大威胁。刑事职业禁止与证券犯罪之间存在人为隔阂，在目前司法实务中刑事从业禁止制度极少适用于证券犯罪，在全国范围内有且仅有一例。刑事从业禁止制度与证券法规中的禁入制度存在着立法上的交叉重复、二者之间关系混乱、行刑衔接的不足等问题。将两种制度进行对比，才能准确的理解刑事从业制度在证券犯罪中的适用性关系。刑事从业禁止的设立，契合证券犯罪的职业性高发性，加强刑法对证券犯罪功能，构建层次分明的行刑衔接证券从业限制体系，完善证券犯罪的刑罚体系，具有合理性。

Abstract: The securities industry is an important field of the national market economy, which causes serious harm and great threat to the national financial security. There is an artificial gap between criminal occupation prohibition and securities crime. In the current judicial practice, the criminal occupation prohibition system is rarely applied to securities crime, and there is only one case in the whole country. There exist some problems such as the cross-repetition of legislation, the confusion of the relationship between the prohibition system of criminal employment and the prohibition system of securities regulations, and the insufficiency of the convergence of execution. Only by comparing the two systems can we accurately understand the applicability of the criminal employment system in securities crimes. It is reasonable to strengthen the function of criminal law on securities crime, construct a hierarchical system of punishment connecting with securities practice and perfect the penalty system of securities crime.