跨国交易的金融衍生品国际监管合作法律制度研究
发布时间：2018-08-21 08:39
【摘要】：金融衍生品近几十年来发展十分迅速,由于其具有对冲风险和盈利等功能,品种和规模都不断翻新和扩大。与此同时,金融衍生品特别是可以跨国交易的金融衍生品更是具有高杠杆性、虚拟性、未来性等特点,在加上金融衍生品市场本身的信息不对称、系统性和传染性强等因素,使得金融衍生品具有了高风险性。近几次区域范围内甚至是全球范围内的金融危机,无不与金融衍生品带来的风险有关。在金融全球化的背景下,金融衍生品极易将风险在各个国家间传播,很可能造成国际金融危机。但由于经济主权的地域限制,在金融衍生品进入本国前,一国根本不可能对它的风险进行提前预测和监管；而当金融衍生品进入本国时,风险的几率和速度早已大大提高,对其进行监管的成本也将随着提高。一旦金融衍生品的风险大量爆发并形成金融风暴,各国再对其进行治理为时己晚。因此,加强国际间金融监管合作、将金融风险扼杀在萌芽状态就显的尤为重要。这正是本文选题的意义所在。 本文第一章为引言,概括性介绍全文； 第二章以经济学的视角分析了金融衍生品的定义、特征、作用原理,指出其杠杆性的特性,然后回顾了金融衍生品的产生和历史沿革,预测将来金融衍生品的发展趋势； 第三章对金融衍生品的发展进行分析,并对联合监管金融衍生品的必要性进行阐述； 第四章介绍全球性金融监管框架,重点介绍国际货币基金组织、世界银行等综合性金融监管组织以及巴塞尔委员会、国际证监会、国际保监会等专业性金融监管组织,在分析它们具体监管措施、体制的基础上指出了它们存在的优缺点,为后文的研究奠定了基础； 第五章介绍了区域性金融监管框架。首先介绍的是欧洲联盟的金融监管框架,它是目前最为成功的区域监管机制,值得中国学习；然后,分析目前中国与东盟自由贸易区正在组建的东北亚区域合作框架,并指出了有待改善的地方。 第六章重点分析了中国加强国际合作这一命题。在分析了中国目前涉外金融监管体制及制度缺陷的基础上,笔者将提出积极参与国际组织、学习先进监管经验、强化区域合作、建立信息共享和风险预警机制、完善危机救助机制等的具体建议； 第七章结论,概括总结全文。
[Abstract]:Financial derivatives have been developing rapidly in recent decades. Because of their functions of hedging risks and profitability, their varieties and scales have been constantly renovated and expanded. At the same time, financial derivatives, especially those that can be transnational transactions, are characterized by high leverage, virtuality and futurity. In addition, the financial derivatives market itself has its own characteristics. Information asymmetry, systematic and contagious factors make financial derivatives have high risk. In recent regional and even global financial crises, all are related to the risk of financial derivatives. However, due to the geographical limitation of economic sovereignty, it is impossible for a country to predict and supervise the risks of financial derivatives before they enter the country. When financial derivatives enter the country, the probability and speed of risks have been greatly increased, and the cost of supervision will also be increased. It's too late for all countries to control the financial derivatives'risks, so it's very important to strengthen international financial supervision cooperation and strangle the financial risks in the embryonic stage.
The first chapter is introduction, which generality introduces the full text.
Chapter 2 analyzes the definition, characteristics and working principle of financial derivatives from the perspective of economics, points out the leverage characteristics of financial derivatives, then reviews the emergence and historical evolution of financial derivatives, and forecasts the development trend of financial derivatives in the future.
The third chapter analyzes the development of financial derivatives, and expounds the necessity of joint supervision of financial derivatives.
The fourth chapter introduces the global financial regulatory framework, focusing on comprehensive financial regulatory organizations such as the International Monetary Fund, the World Bank, and professional financial regulatory organizations such as the Basel Committee, the International Securities Regulatory Commission and the International Insurance Regulatory Commission. The following research lays the foundation.
The fifth chapter introduces the regional financial regulatory framework. First, it introduces the European Union's financial regulatory framework, which is the most successful regional regulatory mechanism at present and worth learning from China. Then, it analyzes the Northeast Asian regional cooperation framework which is being established between China and ASEAN Free Trade Area, and points out the areas to be improved.
Chapter Six focuses on the proposition of strengthening international cooperation in China. On the basis of analyzing the defects of China's current foreign-related financial supervision system and system, the author will put forward concrete proposals such as actively participating in international organizations, learning advanced regulatory experience, strengthening regional cooperation, establishing information sharing and risk early warning mechanism, and improving crisis relief mechanism. Suggestions;
The seventh chapter summarizes the whole conclusion.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.2
本文编号：2195169
[Abstract]:Financial derivatives have been developing rapidly in recent decades. Because of their functions of hedging risks and profitability, their varieties and scales have been constantly renovated and expanded. At the same time, financial derivatives, especially those that can be transnational transactions, are characterized by high leverage, virtuality and futurity. In addition, the financial derivatives market itself has its own characteristics. Information asymmetry, systematic and contagious factors make financial derivatives have high risk. In recent regional and even global financial crises, all are related to the risk of financial derivatives. However, due to the geographical limitation of economic sovereignty, it is impossible for a country to predict and supervise the risks of financial derivatives before they enter the country. When financial derivatives enter the country, the probability and speed of risks have been greatly increased, and the cost of supervision will also be increased. It's too late for all countries to control the financial derivatives'risks, so it's very important to strengthen international financial supervision cooperation and strangle the financial risks in the embryonic stage.
The first chapter is introduction, which generality introduces the full text.
Chapter 2 analyzes the definition, characteristics and working principle of financial derivatives from the perspective of economics, points out the leverage characteristics of financial derivatives, then reviews the emergence and historical evolution of financial derivatives, and forecasts the development trend of financial derivatives in the future.
The third chapter analyzes the development of financial derivatives, and expounds the necessity of joint supervision of financial derivatives.
The fourth chapter introduces the global financial regulatory framework, focusing on comprehensive financial regulatory organizations such as the International Monetary Fund, the World Bank, and professional financial regulatory organizations such as the Basel Committee, the International Securities Regulatory Commission and the International Insurance Regulatory Commission. The following research lays the foundation.
The fifth chapter introduces the regional financial regulatory framework. First, it introduces the European Union's financial regulatory framework, which is the most successful regional regulatory mechanism at present and worth learning from China. Then, it analyzes the Northeast Asian regional cooperation framework which is being established between China and ASEAN Free Trade Area, and points out the areas to be improved.
Chapter Six focuses on the proposition of strengthening international cooperation in China. On the basis of analyzing the defects of China's current foreign-related financial supervision system and system, the author will put forward concrete proposals such as actively participating in international organizations, learning advanced regulatory experience, strengthening regional cooperation, establishing information sharing and risk early warning mechanism, and improving crisis relief mechanism. Suggestions;
The seventh chapter summarizes the whole conclusion.
【学位授予单位】：郑州大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996.2
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