航运金融衍生品监管法律问题研究

发布时间：2018-03-23 10:13

本文选题：航运金融　切入点：法律监管　出处：《大连海事大学》2017年硕士论文

【摘要】：航运金融是指金融业(金融机构及辅助机构)在一定市场环境下,为满足航运业(航运企业及相关企业)不断变化中的发展需求,通过实践结合法律政策的方式,创设、提供、改良金融产品及相关服务的过程。航运金融的形在于产品,神在于法律,旨在于创新,大致可分为船舶融资、船舶保险、资金结算和航运金融衍生品四类。过去我们一直将船舶融资与保险视为航运金融的两大组成部分,但随着航运业的不断发展,航运金融衍生品越来越受到重视,被视为航运金融的第三大支柱。航运金融衍生品能够帮助航运企业规避风险,减少航运市场周期性变化所带来的冲击,有利于企业的长期发展。但是,航运金融衍生品也存在着巨大的潜在风险,在这种情况下,有效和适时的监管就显得尤为必要。本文共分为四章,第一章对航运金融衍生品监管进行综述,首先是对航运金融衍生品的概述,航运金融衍生品是国际航运市场重要的风险管理工具,经过市场不断地创新发展,形成了以运价指数期货、远期运费协议、运费期权三种产品为代表的航运金融衍生品体系。其次介绍了航运金融衍生品监管必要性。最后分析了现阶段对航运金融衍生品监管的主要问题。第二章介绍了发达国家航运金融衍生品监管体系,以英美两国为代表,并分析了其对我国的经验借鉴。第三章探讨航运金融衍生品的法律监管,切入了正文的核心内容,包括航运金融衍生品监管的法律依据,航运金融衍生品的监管主体和目标,试图理清脉络,进而更完善地顺应金融全球化和金融自由化的浪潮。最后一章在前文的基础之上,提出了完善我国航运金融衍生品监管的对策,分别从法律体系和监管主体两方面分析,希望能够对我国航运金融衍生品监管提供进一步的帮助。
[Abstract]:Shipping finance refers to the financial industry (financial institutions and auxiliary institutions) in a certain market environment, in order to meet the ever-changing development needs of the shipping industry (shipping enterprises and related enterprises), through practice combined with legal policies to create, provide, The process of improving financial products and related services. The form of shipping finance lies in the product, the god in the law, aims at innovation, can be broadly divided into ship financing, ship insurance, We used to regard ship financing and insurance as two major components of shipping finance, but with the continuous development of the shipping industry, shipping financial derivatives have received more and more attention. It is regarded as the third pillar of shipping finance. Shipping financial derivatives can help shipping enterprises avoid risks, reduce the impact of cyclical changes in shipping market, and benefit the long-term development of enterprises. There are also huge potential risks in shipping financial derivatives. In this case, effective and timely supervision is particularly necessary. This paper is divided into four chapters, the first chapter reviews the supervision of shipping financial derivatives. The first is an overview of shipping financial derivatives. Shipping financial derivatives are an important risk management tool in the international shipping market. After continuous innovation and development in the market, a freight rate index futures and forward freight agreement has been formed. The shipping financial derivatives system represented by freight option is introduced. Secondly, the necessity of shipping financial derivatives regulation is introduced. Finally, the main problems of shipping financial derivatives supervision at present are analyzed. The second chapter introduces the main problems in the regulation of shipping financial derivatives. Developed countries' regulatory systems for shipping financial derivatives, The third chapter discusses the legal supervision of shipping financial derivatives, cut into the core content of the text, including the legal basis of the supervision of shipping financial derivatives. The main body and target of the supervision of shipping financial derivatives, trying to clarify the context, and then more perfect to comply with the wave of financial globalization and financial liberalization. This paper puts forward the countermeasures to improve the supervision of shipping financial derivatives in China, and analyzes them from two aspects: the legal system and the main body of supervision, hoping to provide further help for the supervision of shipping financial derivatives in China.
【学位授予单位】：大连海事大学
【学位级别】：硕士
【学位授予年份】：2017
【分类号】：D922.28

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