情势变更原则抑或其它——再论“韩国KIKO外汇期权交易合约案”的法律适用

发布时间：2018-01-31 01:30

本文关键词： 期权交易射幸性情势变更原则公平原则　出处：《政法论丛》2014年06期 　论文类型：期刊论文

【摘要】：不论是套期保值还是投机套利,金融衍生品交易的对象本质上就是市场上的风险,而这种作为交易对象的市场风险就是当事人赖以订约的"情势"。金融衍生品交易之所以具有射幸性,就是因为这种风险或者"情势"导致交易合同法律效果的不确定,因此,金融衍生品合约的射幸性与"情势变更"具有内在的统一性。既然法律肯定了其射幸性,也就等于认可了交易中的"情势变更",因此,在金融衍生品交易案件中,应该严格限制情势变更原则的适用。"韩国KIKO外汇期权交易合约案"应在公平、诚信等宏观原则的指导下,多从交易商的适当性义务、信义义务以及注意义务等法律原理入手寻找解决该类案件的法律依据。
[Abstract]:Whether hedging or speculative arbitrage, the object of financial derivatives trading is essentially the risk in the market. This kind of market risk, which is the object of trading, is the "situation" on which the parties contract. It is because this risk or "situation" leads to the uncertainty of the legal effect of the transaction contract, therefore. The nature of financial derivatives contracts has inherent unity with "change of circumstances". Since the law affirms its nature of luck, it is equivalent to recognizing the "change of circumstances" in trading, therefore. In the case of financial derivatives trading, the application of the principle of change of circumstances should be strictly restricted. "Korea KIKO Foreign Exchange option Trading contract case" should be guided by the macro principles of fairness and good faith. The author tries to find the legal basis for solving this kind of cases from the legal principles of appropriate duty, fiduciary duty and duty of care.
【作者单位】：嘉兴学院南湖学院;上海交通大学凯原法学院;
【基金】：教育部人文社会科学基金青年项目“中国证券市场对外开放监管法律制度研究”(11YJC820043)的阶段性成果
【分类号】：D931.26
【正文快照】： 随着美国、欧盟经济的逐渐复苏,2008年全球金融危机的阴霾离我们渐渐远去,但我们仍不应该忘记那段历史给我们带来的教训,尤其是不能忘记导致金融危机爆发的场外金融衍生品交易的高风险性。虽然说,美国是2008年全球金融危机的发源地和灾害中心,但因全球经济一体化,危机也在其它

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