【摘要】：金融衍生品近幾十年來發(fā)展十分迅速,由于其具有對沖風險和盈利等功能,品種和規(guī)模都不斷翻新和擴大。與此同時,金融衍生品特別是可以跨國交易的金融衍生品更是具有高杠桿性、虛擬性、未來性等特點,在加上金融衍生品市場本身的信息不對稱、系統(tǒng)性和傳染性強等因素,使得金融衍生品具有了高風險性。近幾次區(qū)域范圍內(nèi)甚至是全球范圍內(nèi)的金融危機,無不與金融衍生品帶來的風險有關。在金融全球化的背景下,金融衍生品極易將風險在各個國家間傳播,很可能造成國際金融危機。但由于經(jīng)濟主權的地域限制,在金融衍生品進入本國前,一國根本不可能對它的風險進行提前預測和監(jiān)管；而當金融衍生品進入本國時,風險的幾率和速度早已大大提高,對其進行監(jiān)管的成本也將隨著提高。一旦金融衍生品的風險大量爆發(fā)并形成金融風暴,各國再對其進行治理為時己晚。因此,加強國際間金融監(jiān)管合作、將金融風險扼殺在萌芽狀態(tài)就顯的尤為重要。這正是本文選題的意義所在。 本文第一章為引言,概括性介紹全文； 第二章以經(jīng)濟學的視角分析了金融衍生品的定義、特征、作用原理,指出其杠桿性的特性,然后回顧了金融衍生品的產(chǎn)生和歷史沿革,預測將來金融衍生品的發(fā)展趨勢； 第三章對金融衍生品的發(fā)展進行分析,并對聯(lián)合監(jiān)管金融衍生品的必要性進行闡述； 第四章介紹全球性金融監(jiān)管框架,重點介紹國際貨幣基金組織、世界銀行等綜合性金融監(jiān)管組織以及巴塞爾委員會、國際證監(jiān)會、國際保監(jiān)會等專業(yè)性金融監(jiān)管組織,在分析它們具體監(jiān)管措施、體制的基礎上指出了它們存在的優(yōu)缺點,為后文的研究奠定了基礎； 第五章介紹了區(qū)域性金融監(jiān)管框架。首先介紹的是歐洲聯(lián)盟的金融監(jiān)管框架,它是目前最為成功的區(qū)域監(jiān)管機制,值得中國學習；然后,分析目前中國與東盟自由貿(mào)易區(qū)正在組建的東北亞區(qū)域合作框架,并指出了有待改善的地方。 第六章重點分析了中國加強國際合作這一命題。在分析了中國目前涉外金融監(jiān)管體制及制度缺陷的基礎上,筆者將提出積極參與國際組織、學習先進監(jiān)管經(jīng)驗、強化區(qū)域合作、建立信息共享和風險預警機制、完善危機救助機制等的具體建議； 第七章結論,概括總結全文。
[Abstract]:Financial derivatives have been developing rapidly in recent decades. Because of their functions of hedging risks and profitability, their varieties and scales have been constantly renovated and expanded. At the same time, financial derivatives, especially those that can be transnational transactions, are characterized by high leverage, virtuality and futurity. In addition, the financial derivatives market itself has its own characteristics. Information asymmetry, systematic and contagious factors make financial derivatives have high risk. In recent regional and even global financial crises, all are related to the risk of financial derivatives. However, due to the geographical limitation of economic sovereignty, it is impossible for a country to predict and supervise the risks of financial derivatives before they enter the country. When financial derivatives enter the country, the probability and speed of risks have been greatly increased, and the cost of supervision will also be increased. It's too late for all countries to control the financial derivatives'risks, so it's very important to strengthen international financial supervision cooperation and strangle the financial risks in the embryonic stage.
The first chapter is introduction, which generality introduces the full text.
Chapter 2 analyzes the definition, characteristics and working principle of financial derivatives from the perspective of economics, points out the leverage characteristics of financial derivatives, then reviews the emergence and historical evolution of financial derivatives, and forecasts the development trend of financial derivatives in the future.
The third chapter analyzes the development of financial derivatives, and expounds the necessity of joint supervision of financial derivatives.
The fourth chapter introduces the global financial regulatory framework, focusing on comprehensive financial regulatory organizations such as the International Monetary Fund, the World Bank, and professional financial regulatory organizations such as the Basel Committee, the International Securities Regulatory Commission and the International Insurance Regulatory Commission. The following research lays the foundation.
The fifth chapter introduces the regional financial regulatory framework. First, it introduces the European Union's financial regulatory framework, which is the most successful regional regulatory mechanism at present and worth learning from China. Then, it analyzes the Northeast Asian regional cooperation framework which is being established between China and ASEAN Free Trade Area, and points out the areas to be improved.
Chapter Six focuses on the proposition of strengthening international cooperation in China. On the basis of analyzing the defects of China's current foreign-related financial supervision system and system, the author will put forward concrete proposals such as actively participating in international organizations, learning advanced regulatory experience, strengthening regional cooperation, establishing information sharing and risk early warning mechanism, and improving crisis relief mechanism. Suggestions;
The seventh chapter summarizes the whole conclusion.
【學位授予單位】：鄭州大學
【學位級別】：碩士
【學位授予年份】：2012
【分類號】：D996.2

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