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2005 Fiscal Year Final Research Report Summary

Research of the sanction on the financial crime

Research Project

Project/Area Number 15530048
Research Category

Grant-in-Aid for Scientific Research (C)

Allocation TypeSingle-year Grants
Section一般
Research Field Criminal law
Research InstitutionKobe University

Principal Investigator

UESHIMA Kazutaka  Kobe University, Law School, Professor, 大学院・法学研究科, 教授 (40184923)

Project Period (FY) 2003 – 2005
Keywordsfinancial crime
Research Abstract

The financial crime is not defined clearly, but characterized by the pursuit of economic profits on the transfer of the capital and the property resulting from economy and financial dealings, thinking the crime is a kind of illegal activities on the Securities Exchange Law. It is purposed in this research to examine what kinds of sanctions involving penal fine are effective against the financial crime.
1. A functional relation between the penal fine and the other kinds of monetary sanctions is not clear in many countries, between those we find the concept of penal fine varies. But it seemed a question of concern in most of those countries, how to provide and impose various kinds of monetary sanctions including penal fine to control the financial crime more effectively.
2. We find a system of surcharge introduced in the Securities Exchange Law and expanding in the Antimonopoly Law, so that it is almost clear that the surcharge plays a similar role to criminal punishment also in our country. However, a "surcharge" has a meaning different according to an individual law, and in the same law works in various ways. These facts obstruct us understand clearly how the surcharge system should work originally to control illegal activities effectively and we can not have any overall policy, what kinds of sanctions should be imposed.
3. The introduction and expand of the surcharge system are preferable, because the surcharge originally deprive participants of profits gained from illegal activities, and make the pursuit of those vain. But the system of the surcharge should have only the function of the deprivation, and giving other functions to those systems should be denied. It seems reasonable that a civil fine perform other functions and this works with the surcharge against illegal activities.

  • Research Products

    (8 results)

All 2006 2005 2004

All Journal Article (8 results)

  • [Journal Article] 正規の国際運転免許証に酷似する文書をその発給権限のない団体の名義で作成した行為が私文書偽造罪に当たるとされた事例2006

    • Author(s)
      上嶌一高
    • Journal Title

      ジュリスト 1308

      Pages: 132-136

    • Description
      「研究成果報告書概要(和文)」より
  • [Journal Article] 横領罪(上)2005

    • Author(s)
      上嶌一高
    • Journal Title

      法学教室 295

      Pages: 118-126

    • Description
      「研究成果報告書概要(和文)」より
  • [Journal Article] 横領罪(下)2005

    • Author(s)
      上嶌一高
    • Journal Title

      法学教室 296

      Pages: 93-100

    • Description
      「研究成果報告書概要(和文)」より
  • [Journal Article] 銀行頭取による信用保証協会に対する背任罪の成否2005

    • Author(s)
      上嶌一高
    • Journal Title

      ジュリスト 1291

      Pages: 173-174

    • Description
      「研究成果報告書概要(和文)」より
  • [Journal Article] 虚偽無申告による逋脱犯の成立2005

    • Author(s)
      上嶌一高
    • Journal Title

      租税判例百選 第4版

      Pages: 240

    • Description
      「研究成果報告書概要(和文)」より
  • [Journal Article] 罰金と重加算税との併科の合憲性2005

    • Author(s)
      上嶌一高
    • Journal Title

      租税判例百選 第4版

      Pages: 241

    • Description
      「研究成果報告書概要(和文)」より
  • [Journal Article] 住専の雄資担当者の特別背任行為につき同社から融資を受けていた会社の代表者が共同正犯とされた事例2004

    • Author(s)
      上嶌一高
    • Journal Title

      現代刑事法 6-9

      Pages: 92-98

    • Description
      「研究成果報告書概要(和文)」より
  • [Journal Article] Breach of trust on a finance and accomplice2004

    • Author(s)
      Kazutaka, Ueshima
    • Journal Title

      Criminal Journal 6-9

      Pages: 92-98

    • Description
      「研究成果報告書概要(欧文)」より

URL: 

Published: 2007-12-13  

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