【摘要】：隨著中國(guó)經(jīng)濟(jì)快速發(fā)展,一方面,人民生活水平提高,民間資本集聚；另一方面,國(guó)際地位提升,吸引了境外資本的大規(guī)模涌入。面對(duì)市場(chǎng)需求,委托理財(cái)業(yè)務(wù)應(yīng)運(yùn)而生。然而,我國(guó)的金融市場(chǎng)發(fā)展尚未成熟,法律監(jiān)管制度不健全,理財(cái)業(yè)務(wù)趨向混業(yè)與金融機(jī)構(gòu)的分業(yè)監(jiān)管存在沖突,同時(shí)缺少統(tǒng)一的自律監(jiān)管機(jī)構(gòu),理財(cái)業(yè)務(wù)在實(shí)踐操作中難免會(huì)出現(xiàn)矛盾和沖突,這些矛盾中最突出的爭(zhēng)議就是委托理財(cái)合同效力的認(rèn)定。 因此本文以“委托理財(cái)合同的效力”作為研究對(duì)象,綜合運(yùn)用合同法與經(jīng)濟(jì)法知識(shí),采用主觀分析法及案例分析法對(duì)委托理財(cái)合同的效力及其影響因素進(jìn)行研究分析,以期待能夠厘清委托理財(cái)合同的法律定性,并針對(duì)存在的問(wèn)題提出適當(dāng)?shù)慕鉀Q方案。全文正文共分四章： 第一章主要分析委托理財(cái)合同效力確定的基礎(chǔ),依據(jù)認(rèn)識(shí)的一般規(guī)律,先了解事物的一般特性,在此基礎(chǔ)上判斷他的功效。同理,在判斷委托理財(cái)合同效力之前,本章著重介紹他的基本特性,合同的性質(zhì)及表現(xiàn)形式。 第二章主要分析影響委托理財(cái)合同效力的因素,根據(jù)《合同法》第52條規(guī)定合同內(nèi)容本身違法,違反國(guó)家強(qiáng)制性規(guī)定,合同自始無(wú)效；合同缺少關(guān)鍵條款(風(fēng)險(xiǎn)提示條款)的效力,及合同含有保底條款的效力都是本章討論的重點(diǎn),在合同無(wú)效的情形下,責(zé)任承擔(dān)的明確至關(guān)重要。 第三章主要分析委托理財(cái)合同中存在的保底條款,當(dāng)事人簽訂的委托理財(cái)合同中常存在保底條款,以希冀借此來(lái)規(guī)避一方責(zé)任和義務(wù),本章主要探討該條款的內(nèi)容及其效力。 第四章主要闡述對(duì)委托理財(cái)合同的法律規(guī)制,從立法層面、監(jiān)督層面及司法層面三個(gè)方面討論如何加強(qiáng)對(duì)委托理財(cái)合同的法規(guī)規(guī)制,保證委托理財(cái)合同合法有效,維護(hù)正常的社會(huì)經(jīng)濟(jì)秩序。
[Abstract]:With the rapid development of China's economy, on the one hand, the people's living standards have improved, and private capital is gathering; on the other hand, the international status has increased, attracting a large influx of foreign capital. Facing the market demand, entrusted financing business came into being. However, the development of financial market in China is not mature, the legal supervision system is not perfect, the financial management business tends to be mixed and there is a conflict between the separate supervision of financial institutions, and there is a lack of unified self-regulatory agencies. Contradictions and conflicts will inevitably occur in the practice of financial management business, and the most prominent dispute is the confirmation of the validity of the entrustment financial management contract. Therefore, this article takes "the validity of the entrustment financing contract" as the research object, synthetically uses the contract law and the economic law knowledge, uses the subjective analysis method and the case analysis method to carry on the research and the analysis to the entrustment financing contract validity and the influence factor. In order to hope to clarify the legal nature of the entrustment financing contract, and propose appropriate solutions to the existing problems. The text is divided into four chapters: the first chapter mainly analyzes the basis of the determination of the effectiveness of the entrusted financial management contract, according to the general law of understanding, first to understand the general characteristics of things, on this basis to judge his efficacy. In the same way, before judging the validity of entrusted financial management contract, this chapter mainly introduces its basic characteristics, nature and form of contract. The second chapter mainly analyzes the factors that affect the validity of the entrusted financial management contract. According to Article 52 of the contract Law, the content of the contract itself is illegal and the contract is invalid since the beginning of the contract because of the violation of the compulsory provisions of the state. The lack of effectiveness of the key clause (risk presentation clause) and the validity of the contract containing the warranty clause are the key points of this chapter. In the case of invalid contract, the clear assumption of liability is of great importance. The third chapter mainly analyzes the guarantee clause in the entrustment financial management contract, which often exists in the entrusted financial management contract signed by the parties, hoping to circumvent the responsibility and obligation of one party. This chapter mainly discusses the content and effectiveness of the clause. The fourth chapter mainly expounds the legal regulation of the entrusted financial management contract, discusses how to strengthen the legal regulation of the entrusted financial management contract from the legislative level, the supervision level and the judicial level, so as to ensure the legality and effectiveness of the entrusted financial management contract. To maintain normal social and economic order.
【學(xué)位授予單位】：復(fù)旦大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2013
【分類(lèi)號(hào)】：D923.6;D922.28

【參考文獻(xiàn)】

相關(guān)期刊論文 前1條

1 陸曉妹;鄭偉明;;論委托理財(cái)保底條款之效力[J];皖西學(xué)院學(xué)報(bào);2007年04期

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本文編號(hào)：2307737