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Public Lecture | The legal theory and approach of insider trading regulation in China: 1994~2021

Title：The legal theory and approach of insider trading regulation in China: 1994~2021

Speaker：LYU Chenglong, Associate Professor of Law, Shenzhen University

Moderator：Sang Yop Kang, Professor of Law, Peking University School of Transnational Law

Date and Time: December 16, 2024 (Monday), 12:15 – 14:00 (12:15 PM – 2:30 PM) (China Standard Time)

Venue：STL Building 205

Langauge：Chinese

About the Speaker:

吕成龙副教授长期从事证券法学研究，尤其是内幕交易规制研究，在《中国法学》《中外法学》《清华法学》等国内外期刊发表论文二十余篇，主持国家社会科学基金项目、中国法学会项目等多项课题，兼任中国法学会证券法学研究会理事、中国商业法研究会理事。吕成龙副教授2016年进入深圳大学工作，此前在浙江大学取得法学博士和学士学位，其间在美国密歇根大学担任格劳秀斯研究学者。

Lecture Summary:

透过对1994年至2021年期间中国证监会执法全样本数据研究，可以看到，我国内幕交易规制取得了显著进展，但在执法基础理论、处罚裁量、地方执法等层面仍存挑战。美国SEC在内幕交易规制方面有不俗表现，但两国证券监管的框架有所不同，我们应当寻求适合我国证券市场治理的内在之“道”。规则制定能力、调查能力和处罚能力等是塑造证券市场的关键变量，不同参与者拥有不同的治理优势，如果具有相应优势的主体能够从事其最擅长的工作，监管效率将大幅提升。在此框架下，我们可以进一步完善证监会在规则制定、调查和执法方面的程序与实体规则，从而实现更优治理。

Poster：

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