论地方金融资产交易中心的法律制度构建

发布时间：2018-05-09 10:54

本文选题：金融资产交易中心 + 法律制度构建　；参考：《浙江大学》2014年硕士论文

【摘要】：金融资产交易场所主要表现为金融资产交易中心,即为金融资产交易提供场所、撮合买卖金融资产双方并提供服务的机构。目前,我国主要有北京、天津、武汉、四川、重庆、广东、贵州等金融资产交易所。而浙江于2014年1月1日也成立了金融资产交易中心。随着国家金融改革的推进,经济、政策等都向着市场化的程度倾斜,尤其是经济发展程度较高的浙江,金融机构的数量位居全国前列,金融改革也为金融机构的进一步发展提供契机,这必然意味着金融资产交易需求在未来几年内成快速增长趋势。金融资产交易中心的成立正为金融资产交易提供平台,但由于现有法律法规缺乏对金融资产交易中心的规定,因此亟需制定相关的交易制度加以规制,确保交易安全性、有序性。本文以浙江为立足点,多产品业务设计,尤其是不良资产交易为中心,论述金融资产交易中心制度构建的重点。除引言和结束语外,文章分为四个部分：第一部分梳理金融资产交易的情况,包括金融资产交易相关概念、交易中心设立发展的政治、经济环境的背景以及中心存在的现实困境；第二部分阐述了交易中心应采取什么样的组织形式,通过对比会员制和公司制,提出金融资产交易中心应采取公司制形式、会员制的管理模式；第三部分明确了交易中心的交易制度,从交易主体、客体、交易价格、违约责任以及会员退市五个方面进行对交易中心的制度构建；第四部分是对交易中心的监督管理,包括立法上、行政监管主体的确定、自律监管的补充等方面加以考虑。本文以手上现有的浙江金融资产交易中心交易制度结合其他地区的交易规定,在现有法律制度框架内,对地方金融资产交易中心进行法律制度构建,以期能作为制定法律的参考。
[Abstract]:The place of financial assets trading mainly shows as the financial asset trading center, that is, the institution that provides the place for the transaction of financial assets, matches the two parties of the financial assets and provides services. At present, China mainly has Beijing, Tianjin, Wuhan, Sichuan, Chongqing, Guangdong, Guizhou and other financial assets exchanges. Zhejiang also set up a financial asset trading center on January 1, 2014. With the advancement of the national financial reform, the economy and policies are inclined to the degree of marketization. Especially in Zhejiang, where the economic development is relatively high, the number of financial institutions ranks among the top in the country. Financial reform also provides an opportunity for the further development of financial institutions, which is bound to mean that the demand for financial assets transactions will become a rapid growth trend in the next few years. The establishment of the financial assets trading center is providing a platform for the financial assets trading. However, due to the lack of regulations on the financial assets trading center in the existing laws and regulations, it is urgent to establish relevant trading systems to ensure the transaction security. Order. This paper focuses on the construction of financial asset trading center system, with Zhejiang as the foothold and multi-product business design, especially non-performing assets transaction as the center. In addition to the introduction and concluding remarks, the article is divided into four parts: the first part reviews the situation of financial asset transactions, including the related concepts of financial asset transactions, the politics of the establishment and development of trading centers, The second part expounds what kind of organization the trading center should take. By comparing the membership system with the corporate system, the paper puts forward that the financial assets trading center should adopt the corporate system. The third part clarifies the trading system of the trading center, including the trading subject, the object, the transaction price, the liability for breach of contract and the member's delisting from the market. The fourth part is the supervision and management of the trading center, including legislation, the determination of the main body of administrative supervision, the supplement of self-regulation and so on. Based on the existing transaction system of Zhejiang Financial assets Trading Center and the transaction regulations of other regions, this paper constructs the legal system of the local financial asset trading center within the framework of the existing legal system. In order to serve as a reference for the formulation of laws.
【学位授予单位】：浙江大学
【学位级别】：硕士
【学位授予年份】：2014
【分类号】：D922.287

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