论期货合同

发布时间：2018-03-17 01:07

本文选题：期货　切入点：期货合同　出处：《华中师范大学》2002年硕士论文　论文类型：学位论文

【摘要】： 我国期货市场正由研究试点阶段向常规发展阶段过渡，先后经历了方案研究、现货试点、期货试点、治理整顿等几个时期。在不同的时期，合同始终作为一种交易形式而存在，并经历了由远期合同向期货合同的转变。期货合同作为期货交易的载体，其在克服远期合同缺陷的同时，获得了许多新的特质，，引发了很多法律问题。目前，我国对期货合同的认识大部分尚停留在期货业界，理论界和实务界很少有人在期货业和民商法研究之间作沟通式的探讨。因此，本文拟从对期货合同的法律界定、主体识别、运作过程和立法构想等四个方面对期货合同作一鸟瞰，以期澄清理论和实践中的误区。本文综合运用了比较法学、经济法学和历史学等多学科的比较方法，既从宏观上对期货合同形成与历史演变进行研究，又从微观上对期货合同的各具体要素进行分析，并提出了建立期货法律体系的观点。首先，笔者界定了期货合同的内涵．通过介绍期货合同的用语及历史沿革，分析其发展脉络及缺陷，揭示了期货合同的特征及内涵。笔者认为，期货合同标的是期货商品，期货合同为交易者之间的一种协议。其次，研究了期货合同的主体。笔者界定了期货合同的主体标准，逐一识别期货市场的主体，重点讨论了期货经纪商的内涵和特征，剖析了不同法系下的期货经纪商和客户的不同法律地位。笔者认为，在我国，期货合同的主体是期货经纪商而不是客户。第三，研究了期货合同从订立、对冲到消灭的整个运作过程。作者通过对对冲观点的分析，指出对冲是期货交易的核心所在，其法律性质是合同的转让，并进行了论证。最后，分析了期货合同的法律现状，指出了现行相关法律的不足，并提出了对现行相关法律修改的建议和对期货合同的立法构想。
[Abstract]:China's futures market is undergoing a transition from the pilot stage of research to the stage of routine development. It has experienced several periods, such as project research, spot pilot, futures pilot, governance and rectification. In different periods, contracts have always existed as a form of trading. As a carrier of futures trading, futures contracts, while overcoming the defects of forward contracts, have acquired many new characteristics and caused a lot of legal problems. Most of our country's understanding of futures contracts is still in the futures industry, and few people in the theoretical and practical circles discuss the relationship between futures industry and civil and commercial law. Therefore, this paper intends to define the futures contract by law and identify the subject. In order to clarify the misunderstanding in theory and practice, this paper makes a bird 's-eye view of futures contract from four aspects, such as operation process and legislative conception. This paper makes comprehensive use of comparative law, economic law and history, and so on, and makes use of multi-disciplinary comparative methods, such as comparative law, economic law and history, etc. This paper not only studies the formation and historical evolution of futures contracts from the macro perspective, but also analyzes the specific elements of futures contracts from a micro perspective, and puts forward the viewpoint of establishing a futures legal system. The author defines the connotation of futures contract, through introducing the term and historical evolution of futures contract, analyzing its developing thread and defect, and revealing the characteristics and connotation of futures contract, the author thinks that the subject matter of futures contract is futures commodity. Futures contract is a kind of agreement between traders. Secondly, the main body of futures contract is studied. The author defines the subject standard of futures contract, identifies the main body of futures market one by one, and discusses the connotation and characteristics of futures broker. This paper analyzes the different legal status of futures brokers and clients in different legal systems. The author thinks that in China, the main body of futures contracts is futures brokers rather than clients. Thirdly, the author studies the conclusion of futures contracts. The author points out that hedging is the core of futures trading, and its legal nature is the transfer of contracts. Finally, the author analyzes the current legal situation of futures contracts. This paper points out the deficiency of the current relevant laws, and puts forward some suggestions for amending the existing relevant laws and a legislative conception for futures contracts.
【学位授予单位】：华中师范大学
【学位级别】：硕士
【学位授予年份】：2002
【分类号】：D913

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