【摘要】：近些年來,隨著世界各國經(jīng)濟的貿易往來在不斷地加強和經(jīng)濟全球化的不斷地發(fā)展,洗錢活動也慢慢地出現(xiàn)了很多新的發(fā)展趨勢和巨大變化：洗錢者不斷地在搞創(chuàng)新,洗錢的方式變得越來越復雜和越來越隱蔽；洗錢活動正一步一步地向高科技化以及高智能化方向靠攏；另一方面,洗錢活動也漸漸地從發(fā)達國家向發(fā)展中國家開始發(fā)生轉移,跨國的洗錢行為已經(jīng)逐漸地成為了現(xiàn)代洗錢活動中的一個重要的特征,它不但嚴重地影響了全球的經(jīng)濟金融秩序穩(wěn)定,而且還對各個國家的經(jīng)濟安全造成了巨大的危害。 香港,這個作為一個國際金融中心的地區(qū),很早便擁有了200多家銀行、保險和證券機構入駐其中,香港特別行政區(qū)金融業(yè)的發(fā)達以及各種金融咨詢公司咨詢服務的廣泛提供以及在香港極其容易獲取空殼公司等都使得香港成為了洗錢者漂白其各種犯罪黑收益的最佳理想場所之一,香港特別行政區(qū)甚至一度被評為了“洗錢者的天堂”。 截止2011年8月31日香港聯(lián)合交易所掛牌交易的上市公司數(shù)量總數(shù)為1463家(包含主板和創(chuàng)業(yè)板),市價總值194318億港元。在香港證券市場活躍繁榮的背后,不乏一些洗錢分子利用證券市場的特殊性進行洗錢犯罪活動,本文就通過對香港地區(qū)證券市場洗錢分子的各種洗錢手段進行了研究和分析,歸納為洗錢分子在證券市場上常用的洗錢手法及利用控股上市公司進行洗錢手法這兩大類,并介紹了一些反制措施以及對內地證券市場反洗錢監(jiān)管提出了一些建議,對我國內地金融監(jiān)管機構完善當前的反洗錢監(jiān)管政策提供有益的參考,為金融機構開展反洗錢培訓、提高反洗錢工作的有效性提供支持,有利于我國金融行業(yè)秩序健康穩(wěn)定的發(fā)展。
[Abstract]:In recent years, with the continuous strengthening of the world economic trade and the continuous development of economic globalization, money laundering activities have slowly emerged a lot of new development trends and great changes: money launderers are constantly engaged in innovation. Money laundering is becoming more and more complex and covert; Money laundering is moving towards the direction of high technology and high intelligence step by step; On the other hand, money laundering has gradually begun to shift from developed to developing countries. Transnational money laundering has gradually become an important feature of modern money laundering. It not only seriously affects the stability of global economic and financial order, but also causes great harm to the economic security of various countries. Hong Kong, as an international financial centre, has long had more than 200 banks, insurance and securities institutions. The development of the financial industry of the Hong Kong Special Administrative region, the wide availability of advisory services from various financial consulting companies and the extremely easy access to shell companies in Hong Kong have made Hong Kong a money launderer to bleach the proceeds of various crimes. One of the best places to live, At one point, the Hong Kong Special Administrative region was even named the Money-Laundering Paradise. As of August 31, 2011, the total number of listed companies listed on the Stock Exchange of Hong Kong was 1463 (including the main Board and the gem), with a market value of HK $19.4318 trillion. Behind the active and prosperous securities market in Hong Kong, there are some money launderers who make use of the particularity of the securities market to carry out money laundering criminal activities. This paper studies and analyzes various means of money laundering by money launderers in the securities market of Hong Kong. This paper summarizes the money laundering methods commonly used by money launderers in the securities market and the methods of money laundering by holding listed companies, and introduces some counter-measures and puts forward some suggestions on anti-money laundering supervision in the mainland securities market. To provide a useful reference for the mainland financial regulatory bodies to improve the current anti-money laundering regulatory policy, to provide support for financial institutions to carry out anti-money-laundering training and improve the effectiveness of anti-money laundering work. It is conducive to the healthy and stable development of the financial industry in China.
【學位授予單位】：西南交通大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：F832.51

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本文編號：2306665