金融互换法律制度之国际化研究
发布时间：2018-12-09 12:26
【摘要】：金融互换是当今国际金融衍生品的主要品种，它对世界金融甚至是经济的影响，已经达到了不得不重视的程度。由于金融互换的交易金额大、潜在风险高、再衍生性强、国际化程度深，如何制定系统化的监管法律制度已成为当今国际金融法中的前沿课题。时下，对金融互换的法律制度以各国国内监管为主，辅以有限的国际合作：国内监管方面，美国、英国这两个金融业最发达的国家监管体制相对完善，但两国的监管模式却迥然不同，也各有利弊；在国际层面上，已经发挥作用的国际组织包括巴塞尔委员会、国际证监会组织以及国际互换与衍生工具协会，它们的运作和颁布的规范文件对金融互换交易的跨国监管起到了巨大的作用。 尽管如此，2007年美国次贷危机和2011年开始蔓延的希腊主权债务危机，还是反映出了巨大的金融互换交易监管漏洞，因此对于如何完善相应的法律制度，尤其是深化国际间的监管合作这一命题，具有研究的必要性和现实性。 本文通过历史事件分析，比较研究，理论结合实践，辩证法等研究方式对金融互换交易的跨国监管问题进行了分析。全文分为三个部分： 第一部分“国际金融互换交易之演进”，运用了历史分析法，首先界定了国际金融互换的相关概念、分类和功能，其次回顾了金融互换发展的历史，通过分析近年来发生的具有重大影响的金融危机，，将金融互换的法律制度这一话题引入视野。 第二部分“当今金融互换交易之法律制度”，主要在国际和国内两个层面上，挑选了主要的相关国际组织及其标准文件与美、英两国的内国法律制度进行研究，并以比较分析的方法探寻各种制度成败优劣，以为下文提出相关建议做铺垫。 第三部分“金融互换跨国监管之立法建议”，运用理论与实践联系、辩证法的研究方式，提出了文对于金融互换交易法律制度的相关国内立法建议，并着重探究如何在国际层面上加强各国间的合作，并最终建立一套高效且为各国普遍接受的跨国金融互换交易法律监管制度。
[Abstract]:Nowadays, financial swap is the main kind of international financial derivatives, and its influence on the world finance and even the economy has reached the degree that must be paid attention to. Because the transaction amount of financial swap is large, the potential risk is high, the re-derivative is strong, and the degree of internationalization is deep, how to establish a systematic regulatory legal system has become a frontier topic in international financial law. At present, the legal system for financial swaps is dominated by domestic supervision and supplemented by limited international cooperation: in terms of domestic regulation, the United States and Britain, two of the most developed countries in the financial sector, have relatively perfect regulatory systems. But the two countries' regulatory models are very different and have their own advantages and disadvantages. At the international level, international organizations that already have a role include the Basel Committee, the International Organization of Securities and Futures Commissions and the International Swaps and Derivatives Association, Their operation and regulatory documents have played a significant role in the transnational regulation of financial swap transactions. Nevertheless, the subprime mortgage crisis in the United States in 2007 and the sovereign debt crisis in Greece, which began to spread in 2011, still reflect a huge regulatory loophole in financial swap transactions, so how to improve the corresponding legal system, Especially, the proposition of deepening international supervision and cooperation is necessary and realistic. In this paper, the transnational supervision of financial swap transactions is analyzed through historical event analysis, comparative study, theory combined with practice, dialectics and so on. The paper is divided into three parts: the first part, "Evolution of international financial swap transactions", uses the historical analysis method, defines the related concept, classification and function of international financial swap, and then reviews the history of the development of international financial swap. Through the analysis of the financial crisis which has great influence in recent years, the topic of the legal system of financial swap is introduced into the field of vision. The second part, "the legal system of Financial swap transactions", mainly selects the main international organizations and their standard documents and the domestic legal systems of the United States and Britain to study at the international and domestic levels. And through comparative analysis to explore the success or failure of the various systems, for the following recommendations to make a foreshadowing. The third part, "Legislative suggestions on the transnational supervision of financial swaps", applies the theory and practice to the research of dialectics, and puts forward the relevant domestic legislative suggestions on the legal system of financial swap transactions. It also focuses on how to strengthen the cooperation among countries at the international level and finally establish a set of efficient and universally accepted legal regulatory system for transnational financial swap transactions.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996
本文编号：2369361
[Abstract]:Nowadays, financial swap is the main kind of international financial derivatives, and its influence on the world finance and even the economy has reached the degree that must be paid attention to. Because the transaction amount of financial swap is large, the potential risk is high, the re-derivative is strong, and the degree of internationalization is deep, how to establish a systematic regulatory legal system has become a frontier topic in international financial law. At present, the legal system for financial swaps is dominated by domestic supervision and supplemented by limited international cooperation: in terms of domestic regulation, the United States and Britain, two of the most developed countries in the financial sector, have relatively perfect regulatory systems. But the two countries' regulatory models are very different and have their own advantages and disadvantages. At the international level, international organizations that already have a role include the Basel Committee, the International Organization of Securities and Futures Commissions and the International Swaps and Derivatives Association, Their operation and regulatory documents have played a significant role in the transnational regulation of financial swap transactions. Nevertheless, the subprime mortgage crisis in the United States in 2007 and the sovereign debt crisis in Greece, which began to spread in 2011, still reflect a huge regulatory loophole in financial swap transactions, so how to improve the corresponding legal system, Especially, the proposition of deepening international supervision and cooperation is necessary and realistic. In this paper, the transnational supervision of financial swap transactions is analyzed through historical event analysis, comparative study, theory combined with practice, dialectics and so on. The paper is divided into three parts: the first part, "Evolution of international financial swap transactions", uses the historical analysis method, defines the related concept, classification and function of international financial swap, and then reviews the history of the development of international financial swap. Through the analysis of the financial crisis which has great influence in recent years, the topic of the legal system of financial swap is introduced into the field of vision. The second part, "the legal system of Financial swap transactions", mainly selects the main international organizations and their standard documents and the domestic legal systems of the United States and Britain to study at the international and domestic levels. And through comparative analysis to explore the success or failure of the various systems, for the following recommendations to make a foreshadowing. The third part, "Legislative suggestions on the transnational supervision of financial swaps", applies the theory and practice to the research of dialectics, and puts forward the relevant domestic legislative suggestions on the legal system of financial swap transactions. It also focuses on how to strengthen the cooperation among countries at the international level and finally establish a set of efficient and universally accepted legal regulatory system for transnational financial swap transactions.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2012
【分类号】：D996
【引证文献】
相关硕士学位论文 前1条
1 林琴;金融互换法律制度研究[D];湖南师范大学;2013年
本文编号：2369361
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