摘要
人工智能时代证券、期货市场刑事风险包括传统刑事风险的演变和新型刑事风险的滋生。人工智能时代证券、期货市场刑事风险的本质是,行为人非法利用包括人工智能技术优势等所形成的优势地位,操纵金融商品与市场资本,进而控制证券、期货市场并从中牟利。对人工智能时代证券、期货市场刑事风险规制进路的探究不能局限在刑法的闭塞体系内,而应当塑造行政前置性立法的思维和规则,做好与行政性法律规范的衔接工作。完善相关前置法规定,需要在静态监管和动态监管两个层面确立具体、明确的标准,将静态的法律法规和制度建设与动态的穿透式监管、全过程监管相结合,以实现从整体上预防和规制人工智能时代证券、期货市场刑事风险的目的。
Criminal risks in the securities and futures markets in the era of artificial intelligence include the evolution of traditional criminal risks and the breeding of new types of criminal risks.The essence of the criminal risk in the securities and futures markets in the artificial intelligence era is that the perpetrator illegally uses the dominant position formed by the advantages of artificial intelligence technology to manipulate financial products and market capital,and then controls and profit from the securities and futures markets.The exploration of the approach to the regulation of criminal risks in the securities and futures markets in the artificial intelligence era cannot be limited to the closed system of criminal law,but should shape the thinking and rules of administrative pre-legislation,and do a good job of linking up with administrative legal norms.To improve relevant pre-law regulations,it is necessary to establish specific and clear standards at the two levels of static supervision and dynamic supervision,and combine the construction of static laws,regulations and systems with dynamic penetrating supervision and full-process supervision to achieve an overall purpose of preventing and regulating criminal risks in securities and futures markets in the era of artificial intelligence.
出处
《东方法学》
CSSCI
北大核心
2021年第2期43-53,共11页
Oriental Law
基金
国家社科基金重大项目“网络时代的社会治理与刑法体系的理论创新”(首席专家)(项目批准号:20&ZD199)阶段性研究成果
关键词
人工智能
证券期货市场
刑事风险
技术优势
规制进路
行政前置性立法
artificial Intelligence
securities and futures market
criminal risk
technological advantage
regulatory approach
administrative pre-legislation
作者简介
刘宪权,华东政法大学刑事法学院教授、博士生导师。
