期货交易中强行平仓法律规制研究

发布时间：2018-02-09 04:58

本文关键词： 期货交易强行平仓法律性质法律责任　出处：《延边大学》2014年硕士论文　论文类型：学位论文

【摘要】：期货市场已经成为中国市场经济的重要组成部分,其“价格发现,规避风险”的功能日益发挥作用,为国民经济健康发展和平稳运行提供了有效的风险管理场所和手段。随着期货市场的发展,法学界面临的课题日益增加,但和期货市场有关的研究成果比较少,不能满足实际需要,制约这期货市场的发展。强行平仓制度是控制期货市场风险的重要制度,在期货市场上发挥举足轻重的作用。强行平仓在我们的期货市场上是一个非常难以界定的问题,同时也是热点、难点问题。围绕着强行平仓产生了众多纠纷,各方争论不断,也给司法裁判带来了很多难度。鉴于此,有必要对期货交易中的强行平仓制度进行研究,通过法理上的分析、法律法规的梳理,为立法工作和司法实践提供一些有益的思考。本文共分五个部分来研究期货交易中的强行平仓制度。第一部分是绪论,主要内容是研究期货交易中强行平仓的目的和意义,目前国内外对此问题的研究现状和本文的研究范围及方法。第二部分是期货交易中强行平仓的概述,主要包括强行平仓的概念,强行平仓的产生和沿革,强行平仓的适用情形和境外期货市场的强行平仓制度。第三部分分析强行平仓的相关法律问题,主要包括界定强行平仓的法律性质,结合案例分析来明确强行平仓的责任归属,并指出我国目前强行平仓的主要不足。第四部分通过呼吁尽快出台《期货法》,在《期货法》中明确强行平仓的法律性质,建立动态保证金制度,加强对投资者的风险意识教育等措施来完善强行平仓制度。最后为结语,通过以上问题的阐述,希望通过立法手段完善强行平仓制度,从而强化我国期货市场的风险控制,维护期货市场的长远发展。
[Abstract]:The futures market has become an important part of China's market economy, and its function of "price discovery, risk aversion" is playing an increasingly important role. It provides an effective risk management place and means for the healthy development and smooth operation of the national economy. With the development of the futures market, there are more and more topics facing the law circle, but the research results related to the futures market are relatively few. Can not meet the actual needs, restricting the development of the futures market. The forced liquidation system is an important system to control the risk of futures market, and plays an important role in the futures market. Forced closure of positions is a very difficult problem to define in our futures market, and it is also a hot spot. There are many disputes around the forced closing of positions, and the disputes between the parties have brought a lot of difficulties to the judicial decision. In view of this, it is necessary to study the system of forced closure of positions in futures trading and analyze it through legal theory. The combing of laws and regulations provides some beneficial thinking for legislative work and judicial practice. This paper is divided into five parts to study the forced closure system in futures trading. The first part is the introduction, the main content is to study the purpose and significance of forced closure in futures trading. The second part is an overview of the forced closing of positions in futures trading, including the concept of forced closure, the emergence and evolution of forced closure of positions. The third part analyzes the relevant legal issues of forced closing of positions, including defining the legal nature of forced closing of positions, and making clear the attribution of liability for forced closure of positions in combination with case studies. It also points out the main deficiency of the forced closing of positions in our country at present. Part 4th, by calling for the introduction of the Futures Law as soon as possible, clearly defines the legal nature of the forced closing of positions in the Futures Law, and establishes a dynamic margin system. Strengthening the risk awareness education of investors to improve the forced closing system. Finally, as the conclusion, through the elaboration of the above problems, we hope to improve the forced closing system through legislative means, thereby strengthening the risk control of China's futures market. To maintain the long-term development of the futures market.
【学位授予单位】：延边大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287

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