我国金融衍生品法律监管研究
发布时间：2018-11-03 21:09
【摘要】：金融衍生品是一个新生事物，正在逐步走进我们的生活。但基于金融衍生品具有的风险属性，加强法律监管自然是应有之义。为此，笔者通过文献分析、归纳、演绎的方式，对我国金融衍生品法律监管制度进行了研究，借鉴了国际组织和发达国家或地区好的经验和做法，最后提出了完善法律监管的对策和措施，衷心希望能够付诸于实践，给力于我国“十二五”期间金融业大发展、大改革的法制构建和科学进步。 本文第一部分，阐述了金融衍生品的概念、种类、性质；金融衍生品的法律性质和法律特征；加强金融衍生品监管必要性的宏观和微观分析等，为下文研究打下了坚实的基础。 本文第二部分，对我国金融衍生品法律监管的现状和存在的问题，从监管模式、监管主体、监管法律规范等角度，，进行了全面审视。总体来说，我国在金融衍生品法律监管方面做了大量的工作，实行了较为严格的政府监管模式，但有利有弊，需要结合当前我国的经济、社会发展形势进行持续改进。 本文第三部分，重点考察了国际组织和发达国家或地区在金融衍生品法律监管方面的经验，特别是其监管理念和对自律监管的高度重视，对我国具有较强的启示意义。 本文第四部分，提出了当前我国加强金融衍生品法律监管的对策和措施；一是要进一步确立政府监管的主导地位，由目前分业监管模式向混业监管模式转变；二是要在明确金融衍生品监管的统一主体模式的基础上，加强交易所与行业协会的自律监管；三是对金融衍生品监管的法律规范的完善，这主要包括金融衍生品监管法和期货法的立法规制，对《公司法》、《破产法》等法律进行修订，完善会计、税收、信用评级等制度等，从而使我国金融衍生品法律监管，能够更好地适应当前方兴未艾的金融衍生品的科学发展。毕竟，法律制度作为上层建筑其最终价值必然体现在对生产力或经济基础的促进方面，也唯有从法律制度上对金融衍生品监管进行规制，才能增添我国金融业发展的正能量，促进我国经济发展和社会进步向纵深推进。
[Abstract]:Financial derivatives is a new thing, is gradually entering our life. But based on the risk attribute of financial derivatives, it is necessary to strengthen legal supervision. Therefore, through literature analysis, inductive and deductive methods, the author studies the legal supervision system of financial derivatives in China, and draws lessons from the good experiences and practices of international organizations and developed countries or regions. Finally, the author puts forward the countermeasures and measures to perfect the legal supervision, and sincerely hopes that it can be put into practice, which will contribute to the great development of the financial industry, the construction of the legal system and the scientific progress of the great reform during the "12th Five-Year Plan" period of our country. The first part of this paper expounds the concept, category, nature of financial derivatives, legal nature and legal characteristics of financial derivatives, and macro and micro analysis of the necessity of strengthening the supervision of financial derivatives, which lays a solid foundation for the following research. In the second part of this paper, the current situation and existing problems of the legal supervision of financial derivatives in China are reviewed from the aspects of supervision mode, supervision subject, supervision legal norm and so on. Generally speaking, our country has done a lot of work in the legal supervision of financial derivatives, and has implemented a more strict government supervision mode, but it has advantages and disadvantages, so we need to combine the current economic and social development situation of our country to carry on the continuous improvement. In the third part of this paper, the experiences of international organizations and developed countries or regions in the legal supervision of financial derivatives, especially the concept of supervision and the importance of self-regulation, are investigated, which is of great significance to our country. The fourth part of this paper puts forward the countermeasures and measures to strengthen the legal supervision of financial derivatives in our country. Firstly, it is necessary to further establish the leading position of government supervision and change from the current mode of separate supervision to the mode of mixed supervision. Secondly, we should strengthen the self-regulation of exchanges and trade associations on the basis of clarifying the unified subject mode of financial derivatives supervision. The third is the perfection of the legal norms of the supervision of financial derivatives, which mainly include the legislative regulation of the supervision law on financial derivatives and the law on futures, the revision of the Company Law and the bankruptcy Law, and the improvement of accounting and taxation. The credit rating system and so on make the legal supervision of financial derivatives in our country better adapt to the scientific development of financial derivatives that are in the ascendant at present. After all, the final value of the legal system as a superstructure must be reflected in the promotion of productivity or economic base. Only by regulating the financial derivatives from the legal system, can we increase the positive energy of the development of our financial industry. Promoting China's economic development and social progress to the depth.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.28
本文编号：2309045
[Abstract]:Financial derivatives is a new thing, is gradually entering our life. But based on the risk attribute of financial derivatives, it is necessary to strengthen legal supervision. Therefore, through literature analysis, inductive and deductive methods, the author studies the legal supervision system of financial derivatives in China, and draws lessons from the good experiences and practices of international organizations and developed countries or regions. Finally, the author puts forward the countermeasures and measures to perfect the legal supervision, and sincerely hopes that it can be put into practice, which will contribute to the great development of the financial industry, the construction of the legal system and the scientific progress of the great reform during the "12th Five-Year Plan" period of our country. The first part of this paper expounds the concept, category, nature of financial derivatives, legal nature and legal characteristics of financial derivatives, and macro and micro analysis of the necessity of strengthening the supervision of financial derivatives, which lays a solid foundation for the following research. In the second part of this paper, the current situation and existing problems of the legal supervision of financial derivatives in China are reviewed from the aspects of supervision mode, supervision subject, supervision legal norm and so on. Generally speaking, our country has done a lot of work in the legal supervision of financial derivatives, and has implemented a more strict government supervision mode, but it has advantages and disadvantages, so we need to combine the current economic and social development situation of our country to carry on the continuous improvement. In the third part of this paper, the experiences of international organizations and developed countries or regions in the legal supervision of financial derivatives, especially the concept of supervision and the importance of self-regulation, are investigated, which is of great significance to our country. The fourth part of this paper puts forward the countermeasures and measures to strengthen the legal supervision of financial derivatives in our country. Firstly, it is necessary to further establish the leading position of government supervision and change from the current mode of separate supervision to the mode of mixed supervision. Secondly, we should strengthen the self-regulation of exchanges and trade associations on the basis of clarifying the unified subject mode of financial derivatives supervision. The third is the perfection of the legal norms of the supervision of financial derivatives, which mainly include the legislative regulation of the supervision law on financial derivatives and the law on futures, the revision of the Company Law and the bankruptcy Law, and the improvement of accounting and taxation. The credit rating system and so on make the legal supervision of financial derivatives in our country better adapt to the scientific development of financial derivatives that are in the ascendant at present. After all, the final value of the legal system as a superstructure must be reflected in the promotion of productivity or economic base. Only by regulating the financial derivatives from the legal system, can we increase the positive energy of the development of our financial industry. Promoting China's economic development and social progress to the depth.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2013
【分类号】：D922.28
【参考文献】
相关期刊论文 前2条
1 薛智胜;马淑亚;;我国金融衍生品发展的法律困境解析[J];法学杂志;2008年04期
2 洪治纲;;论金融衍生产品法律制度的调整对象与内容构成[J];商业时代;2012年01期
本文编号：2309045
本文链接：https://www.wllwen.com/falvlunwen/gongsifalunwen/2309045.html
