【作者】 付超恒；

【导师】 吴丹波；

【作者基本信息】 南昌大学 ， 法律， 2011， 硕士

【摘要】 随着世界经济全球化和金融国际化,特别是自上世纪八十年代以来,场外金融衍生交易迅速发展,并在金融市场中日益占有重要的地位。但是此次由美国次贷危机所引发的席卷全球金融危机再次为世界各国敲响了警钟。因此现在世界各国必须正视场外金融衍生交易中存在的问题,既要鼓励又要严格监管。本文就是在上述背景下,就场外金融衍生交易监管从法律的视角进行分析,并试图为我国场外金融交易监管完善提出建议。文章第一部分全面地对场外金融衍生交易监管的基本问题进行概述,从而引出对场外金融交易进行监管的现实必要性。第二部分对场外金融衍生交易监管的有关理论进行法律理论分析,建立场外金融衍生交易监管的理论框架。第三部分则对我国场外金融衍生交易监管现状进行了全面的分析和介绍,并指出监管中存在的问题。第四部分在前文详细分析论证的基础上,就如何完善我国场外金融衍生交易市场的监管提出了相应的建议,从而构建出我国完善的场外金融衍生交易市场的监管体系。更多还原

【Abstract】 With the economic globalization and financial internationalization, especially since 1980s, the OTC financial derivatives markets have been developed amazingly, and have taken an increasing important part in the financial industry. The global financial risks happened recently, caused by the sub-prime mortgage loan of the United States stroke the bell to all the countries in the world. Hence, every country of the world should hold a serious attitude to the development of the OTC financial derivatives, both with encouragement and more strict supervision. Under the background above, the paper, from the legal prospective, tries to provide the suggestions to better the legal supervision system of our nation.Chapter 1, on the basis of the related theories of supervision of the OTC financial derivatives, and this part of the paper comes to the conclusion that it is urgent to regulate the OTC financial derivatives trade. Chapter 2 analyzes and demonstrates the related legal theories of the OTC financial derivatives’supervision, and to build the supervision framework of the OTC financial derivatives. After this analysis, the chapter 3 makes a comprehensive analysis o the situations in regulation of the OTC financial derivatives market in our nation, and points out the existing problems..Based on the analysis above, chapter 4 makes countermeasures as to how to better the regulation systems of the OTC financial derivatives in China, such as enhancing the rank of related legislation and perfecting the law system of them, establishing sound and effective organizations of self-regulation in finance industry, strengthening the international co-operation and coordination. Thus our country can construct a perfect OTC financial derivatives trading market regulatory system.更多还原