关于完善我国期货市场法制的几点思考

发布时间：2018-06-05 13:47

本文选题：期货市场 + 交易者　；参考：《新金融》2017年08期

【摘要】：我国期货市场法制在交易者保护、操纵行为规制、异常交易行为处置、强制减仓等方面有待完善。关于交易者保护,建议建立系统的期货交易者分类和适当性制度;细化期货经纪机构对交易者的保护责任,健全交易者争议解决机制;加强期货市场监管协调和违法违规行为打击力度,完善期货违法违规行为民事责任制度,在期货立法中单立"交易者保护"一章。关于操纵行为规制,建议强化期货监管机构执法权限,提高执法效果;建立一个适应我国期货市场特点、定位明确、分工合理的期货操纵监管执法机制,加强市场监控,防范期货市场操纵行为。关于异常交易行为处置,建议通过期货立法规范异常交易行为,提升效力层级,赋予交易所处置异常交易行为权限和法律依据。关于强制减仓制度,建议通过期货立法规范强制减仓,提升效力层级;监管部门审慎使用强制减仓制度;期货立法设计充分考虑各方利益平衡等。
[Abstract]:The legal system of futures market in China needs to be improved in the aspects of trader protection, manipulation behavior regulation, abnormal trading behavior disposal and compulsory reduction of position. On the protection of traders, it is suggested to establish a systematic system of classification and appropriateness of futures traders, to refine the duty of futures brokers to protect traders, and to perfect the dispute resolution mechanism of traders. Strengthening the coordination of futures market supervision and cracking down on illegal and illegal actions, perfecting the civil liability system of futures illegal and illegal acts, and setting up a single chapter on "Protection of traders" in futures legislation. With regard to the regulation of manipulation, it is suggested that the enforcement authority of futures regulatory bodies should be strengthened, and the enforcement effect should be improved, and a mechanism of futures manipulation and enforcement should be established that adapts to the characteristics of China's futures market, has a clear orientation and a reasonable division of labor, and strengthen market monitoring. Guard against futures market manipulation. On the disposal of abnormal trading behavior, it is suggested to regulate abnormal trading behavior through futures legislation, enhance the level of effectiveness, and endow the exchange with the authority and legal basis to deal with abnormal trading behavior. Regarding the system of compulsory reduction of positions, it is suggested that the compulsory reduction of positions be regulated by futures legislation to enhance the level of effectiveness; the regulatory authorities carefully use the system of compulsory reduction of positions; and the design of futures legislation should take full account of the balance of interests of all parties and so on.
【作者单位】：华东政法大学;
【分类号】：D922.287

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