股指期货交易的私法分析
发布时间：2018-12-28 10:09
【摘要】：股指期货作为资本市场上的一个新生事物衍生于股票交易,其存在对于促进股票价格信息流通、稳定股票交易价格、转移股票价格风险具有重要意义。在经历了近三十年的发展、完善之后,股指期货已经成为西方资本市场上的一类成熟的衍生产品,对于活跃股票交易、健全资本市场起到了重要作用。随着我国股票市场的成熟与投资者需求的增加,我国于2010年4月开始了股指期货交易。虽然一年来股指期货交易运行健全,没有出现法律纠纷,但这并不意味着投资者对股指期货的本质认识清楚,监管者和司法者对股指期货交易法律关系和不法行为没有疑惑,更不意味着我国调整股指期货交易的法律规范已经完善。为了消除人们对股指期货的困惑,完善股指期货相关立法,本文运用民商法的基本理论对股指期货交易的私法构造进行分析研究。 在论文结构上,本文除了导论和结论外,主体内容分为四章。导论部分在回顾股指期货交易实践和理论研究现状的基础上提出本文所要研究的问题及意义。并明确本文的研究范围、研究思路和本文所运用的研究方法。 第一章是股指期货的概述。本章内容首先将股指期货置入期货发展的历史过程中去探索分析股指期货的本质。在明确了股指期货的本质之后,又进一步分析了股指期货产生的理论基础和价值功能。随后又分析了股指期货的规范基础并概括介绍了股指期货交易法律关系的内容。 第二章是股指期货买卖法律关系的私法分析。本章内容在明确股指期货买卖这一法律事实的基础上,运用民事法律关系的一般理论从法律关系的主体、客体、内容三个方面对股指期货买卖法律关系进行全面分析。在对股指期货买卖法律关系进行透彻分析之后,又对股指期货合同法律关系的履行进行分析。 第三章是股指期货交易担保关系的私法分析。本章内容首先对股指期货交易保证金的概念、类型、设置理念与价值功能等基本问题进行介绍。在对股指期货交易保证金有了宏观了解的基础上进一步分析股指期货交易担保法律关系的基本构造。在明确了股指期货交易担保法律关系之后,又对几种保证金担保的保障制度加以介绍。 第四章是股指期货不法交易行为的私法分析。本章内容首先对股指期货不法交易行为进行概述。在对股指期货不法交易行为有了全面把握之后,接下来的内容结合股指期货不法交易行为的特征,运用不法行为的构成理论和归责理论对股指期货市场操纵行为、股指期货内幕交易行为和股指期货欺诈行为三种典型的股指期货市场不法行为进行分析和论述。 结论部分对本文的核心观点加以总结和概括,并指出本文的价值所在和有待完善的地方。
[Abstract]:As a new thing in the capital market, stock index futures is derived from stock trading, and its existence is of great significance to promote the circulation of stock price information, stabilize the stock exchange price and transfer the stock price risk. After nearly 30 years of development and improvement, stock index futures have become a kind of mature derivative product in western capital market, which plays an important role in active stock trading and perfecting capital market. With the maturity of China's stock market and the increasing demand of investors, stock index futures trading began in April 2010. Although the trading of stock index futures has been sound and there have been no legal disputes over the past year, this does not mean that investors have a clear understanding of the nature of stock index futures, and regulators and jurists have no doubts about the legal relationship and illegal acts of stock index futures trading. Does not mean that our country adjusts the stock index futures trading the legal norm already consummated. In order to eliminate people's confusion about stock index futures and perfect the relevant legislation of stock index futures, this paper makes an analysis and research on the private law structure of stock index futures trading by using the basic theory of civil and commercial law. In the structure of the thesis, besides the introduction and conclusion, the main content is divided into four chapters. Based on the review of stock index futures trading practice and theoretical research, the introduction points out the problems and significance of this paper. And clear the scope of this study, research ideas and research methods used in this paper. The first chapter is an overview of stock index futures. This chapter firstly puts stock index futures into the history of futures development to explore the nature of stock index futures. After clarifying the essence of stock index futures, the theoretical basis and value function of stock index futures are further analyzed. Then it analyzes the normative basis of stock index futures and introduces the content of legal relationship of stock index futures trading. The second chapter is the private law analysis of the legal relationship of stock index futures trading. Based on the legal facts of stock index futures trading, this chapter makes a comprehensive analysis of the legal relationship of stock index futures trading from three aspects: the subject, the object and the content of the civil legal relationship. After the thorough analysis of the legal relationship of stock index futures trading, the fulfillment of the legal relationship of stock index futures contracts is analyzed. The third chapter is the private law analysis of the guarantee relationship in stock index futures trading. This chapter firstly introduces the concept, type, setting idea and value function of stock index futures trading margin. On the basis of macroscopic understanding of the trading margin of stock index futures, this paper further analyzes the basic structure of the legal relationship of the trading guarantee of stock index futures. After clarifying the legal relationship of guarantee in stock index futures trading, several guarantee systems of margin guarantee are introduced. The fourth chapter is the private law analysis of illegal trading of stock index futures. This chapter first summarizes the illegal trading behavior of stock index futures. After having a comprehensive understanding of the illegal trading behavior of stock index futures, the following contents combine with the characteristics of illegal trading behavior of stock index futures, and use the theory of constitution and imputation of illegal acts to manipulate the stock index futures market. There are three typical illegal behaviors in stock index futures market: insider trading of stock index futures and fraud of stock index futures. The conclusion part summarizes and generalizes the core views of this paper, and points out the value of this paper and the place to be improved.
【学位授予单位】：中国政法大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D912.28;F832.51
本文编号：2393820
[Abstract]:As a new thing in the capital market, stock index futures is derived from stock trading, and its existence is of great significance to promote the circulation of stock price information, stabilize the stock exchange price and transfer the stock price risk. After nearly 30 years of development and improvement, stock index futures have become a kind of mature derivative product in western capital market, which plays an important role in active stock trading and perfecting capital market. With the maturity of China's stock market and the increasing demand of investors, stock index futures trading began in April 2010. Although the trading of stock index futures has been sound and there have been no legal disputes over the past year, this does not mean that investors have a clear understanding of the nature of stock index futures, and regulators and jurists have no doubts about the legal relationship and illegal acts of stock index futures trading. Does not mean that our country adjusts the stock index futures trading the legal norm already consummated. In order to eliminate people's confusion about stock index futures and perfect the relevant legislation of stock index futures, this paper makes an analysis and research on the private law structure of stock index futures trading by using the basic theory of civil and commercial law. In the structure of the thesis, besides the introduction and conclusion, the main content is divided into four chapters. Based on the review of stock index futures trading practice and theoretical research, the introduction points out the problems and significance of this paper. And clear the scope of this study, research ideas and research methods used in this paper. The first chapter is an overview of stock index futures. This chapter firstly puts stock index futures into the history of futures development to explore the nature of stock index futures. After clarifying the essence of stock index futures, the theoretical basis and value function of stock index futures are further analyzed. Then it analyzes the normative basis of stock index futures and introduces the content of legal relationship of stock index futures trading. The second chapter is the private law analysis of the legal relationship of stock index futures trading. Based on the legal facts of stock index futures trading, this chapter makes a comprehensive analysis of the legal relationship of stock index futures trading from three aspects: the subject, the object and the content of the civil legal relationship. After the thorough analysis of the legal relationship of stock index futures trading, the fulfillment of the legal relationship of stock index futures contracts is analyzed. The third chapter is the private law analysis of the guarantee relationship in stock index futures trading. This chapter firstly introduces the concept, type, setting idea and value function of stock index futures trading margin. On the basis of macroscopic understanding of the trading margin of stock index futures, this paper further analyzes the basic structure of the legal relationship of the trading guarantee of stock index futures. After clarifying the legal relationship of guarantee in stock index futures trading, several guarantee systems of margin guarantee are introduced. The fourth chapter is the private law analysis of illegal trading of stock index futures. This chapter first summarizes the illegal trading behavior of stock index futures. After having a comprehensive understanding of the illegal trading behavior of stock index futures, the following contents combine with the characteristics of illegal trading behavior of stock index futures, and use the theory of constitution and imputation of illegal acts to manipulate the stock index futures market. There are three typical illegal behaviors in stock index futures market: insider trading of stock index futures and fraud of stock index futures. The conclusion part summarizes and generalizes the core views of this paper, and points out the value of this paper and the place to be improved.
【学位授予单位】：中国政法大学
【学位级别】：博士
【学位授予年份】：2011
【分类号】：D912.28;F832.51
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