【摘要】：金融互換是當(dāng)今國(guó)際金融衍生品的主要品種，它對(duì)世界金融甚至是經(jīng)濟(jì)的影響，已經(jīng)達(dá)到了不得不重視的程度。由于金融互換的交易金額大、潛在風(fēng)險(xiǎn)高、再衍生性強(qiáng)、國(guó)際化程度深，如何制定系統(tǒng)化的監(jiān)管法律制度已成為當(dāng)今國(guó)際金融法中的前沿課題。時(shí)下，對(duì)金融互換的法律制度以各國(guó)國(guó)內(nèi)監(jiān)管為主，輔以有限的國(guó)際合作：國(guó)內(nèi)監(jiān)管方面，美國(guó)、英國(guó)這兩個(gè)金融業(yè)最發(fā)達(dá)的國(guó)家監(jiān)管體制相對(duì)完善，但兩國(guó)的監(jiān)管模式卻迥然不同，也各有利弊；在國(guó)際層面上，已經(jīng)發(fā)揮作用的國(guó)際組織包括巴塞爾委員會(huì)、國(guó)際證監(jiān)會(huì)組織以及國(guó)際互換與衍生工具協(xié)會(huì)，它們的運(yùn)作和頒布的規(guī)范文件對(duì)金融互換交易的跨國(guó)監(jiān)管起到了巨大的作用。 盡管如此，2007年美國(guó)次貸危機(jī)和2011年開始蔓延的希臘主權(quán)債務(wù)危機(jī)，還是反映出了巨大的金融互換交易監(jiān)管漏洞，因此對(duì)于如何完善相應(yīng)的法律制度，尤其是深化國(guó)際間的監(jiān)管合作這一命題，具有研究的必要性和現(xiàn)實(shí)性。 本文通過(guò)歷史事件分析，比較研究，理論結(jié)合實(shí)踐，辯證法等研究方式對(duì)金融互換交易的跨國(guó)監(jiān)管問(wèn)題進(jìn)行了分析。全文分為三個(gè)部分： 第一部分“國(guó)際金融互換交易之演進(jìn)”，運(yùn)用了歷史分析法，首先界定了國(guó)際金融互換的相關(guān)概念、分類和功能，其次回顧了金融互換發(fā)展的歷史，通過(guò)分析近年來(lái)發(fā)生的具有重大影響的金融危機(jī)，，將金融互換的法律制度這一話題引入視野。 第二部分“當(dāng)今金融互換交易之法律制度”，主要在國(guó)際和國(guó)內(nèi)兩個(gè)層面上，挑選了主要的相關(guān)國(guó)際組織及其標(biāo)準(zhǔn)文件與美、英兩國(guó)的內(nèi)國(guó)法律制度進(jìn)行研究，并以比較分析的方法探尋各種制度成敗優(yōu)劣，以為下文提出相關(guān)建議做鋪墊。 第三部分“金融互換跨國(guó)監(jiān)管之立法建議”，運(yùn)用理論與實(shí)踐聯(lián)系、辯證法的研究方式，提出了文對(duì)于金融互換交易法律制度的相關(guān)國(guó)內(nèi)立法建議，并著重探究如何在國(guó)際層面上加強(qiáng)各國(guó)間的合作，并最終建立一套高效且為各國(guó)普遍接受的跨國(guó)金融互換交易法律監(jiān)管制度。
[Abstract]:Nowadays, financial swap is the main kind of international financial derivatives, and its influence on the world finance and even the economy has reached the degree that must be paid attention to. Because the transaction amount of financial swap is large, the potential risk is high, the re-derivative is strong, and the degree of internationalization is deep, how to establish a systematic regulatory legal system has become a frontier topic in international financial law. At present, the legal system for financial swaps is dominated by domestic supervision and supplemented by limited international cooperation: in terms of domestic regulation, the United States and Britain, two of the most developed countries in the financial sector, have relatively perfect regulatory systems. But the two countries' regulatory models are very different and have their own advantages and disadvantages. At the international level, international organizations that already have a role include the Basel Committee, the International Organization of Securities and Futures Commissions and the International Swaps and Derivatives Association, Their operation and regulatory documents have played a significant role in the transnational regulation of financial swap transactions. Nevertheless, the subprime mortgage crisis in the United States in 2007 and the sovereign debt crisis in Greece, which began to spread in 2011, still reflect a huge regulatory loophole in financial swap transactions, so how to improve the corresponding legal system, Especially, the proposition of deepening international supervision and cooperation is necessary and realistic. In this paper, the transnational supervision of financial swap transactions is analyzed through historical event analysis, comparative study, theory combined with practice, dialectics and so on. The paper is divided into three parts: the first part, "Evolution of international financial swap transactions", uses the historical analysis method, defines the related concept, classification and function of international financial swap, and then reviews the history of the development of international financial swap. Through the analysis of the financial crisis which has great influence in recent years, the topic of the legal system of financial swap is introduced into the field of vision. The second part, "the legal system of Financial swap transactions", mainly selects the main international organizations and their standard documents and the domestic legal systems of the United States and Britain to study at the international and domestic levels. And through comparative analysis to explore the success or failure of the various systems, for the following recommendations to make a foreshadowing. The third part, "Legislative suggestions on the transnational supervision of financial swaps", applies the theory and practice to the research of dialectics, and puts forward the relevant domestic legislative suggestions on the legal system of financial swap transactions. It also focuses on how to strengthen the cooperation among countries at the international level and finally establish a set of efficient and universally accepted legal regulatory system for transnational financial swap transactions.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：D996

【引證文獻(xiàn)】

相關(guān)碩士學(xué)位論文 前1條

1 林琴;金融互換法律制度研究[D];湖南師范大學(xué);2013年

本文編號(hào)：2369361