关于完善我国期货立法调整范围的探讨
发布时间：2018-10-24 06:51
【摘要】：《期货法》的调整范围是我国期货立法的核心问题。通过比较研究美国、澳大利亚、新加坡等境外主要金融市场国家期货立法,可归纳出境外有"期货单独立法"、"证券和期货一体立法"、"所有金融商品统一立法"三种立法模式。境外对"期货"的界定主要以市场为导向,具有功能性特征,基础工具非常广泛,期货的范围比较宽泛。界定方式上采取列举和概括相结合的方式,注重期货的实质性要素。我国《期货交易管理条例》调整范围与《证券法》调整范围的划分不明确,未将场外标准化衍生品纳入调整范围。建议立法将《期货法》调整范围根据金融市场需要适当放宽,通过列举将可明确的期货合约标的纳入其调整范围,将核心场外衍生品纳入《期货法》调整,并对《期货法》的调整范围做出兜底性规定。
[Abstract]:The adjustment scope of the Futures Law is the core problem of China's futures legislation. Through a comparative study of the futures legislation of the major overseas financial markets, such as the United States, Australia and Singapore, the author concludes that there are three legislative models, namely, "separate legislation on futures", "legislation on the integration of securities and futures", and "uniform legislation on all financial commodities". The definition of "futures" abroad is mainly market-oriented, with functional characteristics, broad basic tools and broad range of futures. Define the way to take the combination of enumeration and generalization, pay attention to the substantive elements of futures. The adjustment scope of China's Futures Trading regulations is not clear from that of Securities Law, and the over-the-counter standardized derivatives are not included in the adjustment scope. It is suggested that the adjustment scope of the Futures Law should be relaxed appropriately according to the needs of the financial market, and the core over-the-counter derivatives should be included in the adjustment of the Futures Law by enumerating the subject matter of the futures contract that can be clearly defined. And the scope of the adjustment of the Futures Law to make a bottom of the provisions.
【作者单位】： 上海外国语大学贤达经济人文学院;复旦大学金融法研究中心;
【分类号】：D922.287
，
本文编号：2290637
[Abstract]:The adjustment scope of the Futures Law is the core problem of China's futures legislation. Through a comparative study of the futures legislation of the major overseas financial markets, such as the United States, Australia and Singapore, the author concludes that there are three legislative models, namely, "separate legislation on futures", "legislation on the integration of securities and futures", and "uniform legislation on all financial commodities". The definition of "futures" abroad is mainly market-oriented, with functional characteristics, broad basic tools and broad range of futures. Define the way to take the combination of enumeration and generalization, pay attention to the substantive elements of futures. The adjustment scope of China's Futures Trading regulations is not clear from that of Securities Law, and the over-the-counter standardized derivatives are not included in the adjustment scope. It is suggested that the adjustment scope of the Futures Law should be relaxed appropriately according to the needs of the financial market, and the core over-the-counter derivatives should be included in the adjustment of the Futures Law by enumerating the subject matter of the futures contract that can be clearly defined. And the scope of the adjustment of the Futures Law to make a bottom of the provisions.
【作者单位】： 上海外国语大学贤达经济人文学院;复旦大学金融法研究中心;
【分类号】：D922.287
，
本文编号：2290637
本文链接：https://www.wllwen.com/falvlunwen/jingjifalunwen/2290637.html
