【作者】 郑皎妍；

【导师】 徐冬根；

【作者基本信息】 上海交通大学 ， 法律， 2007， 硕士

【摘要】 面对金融全球化、自由化和市场化进程的不断加快,关注国外金融衍生产品的发展过程、作用及其风险,尤其是在经历安然崩盘、巴林银行倒塌、中航油(新加坡)“陈久霖”事件后,借鉴其经验和教训,结合我国现状,尽快建立我国金融衍生产品的信用风险管理及法律防范机制,已成为涉及我国金融衍生市场发展的重要课题之一。本文对金融衍生合约信用风险防范法律问题进行研究,从三个层次展开:第一,以法律的视角对金融衍生交易实务进行解读与重述,即把对金融衍生交易的描述话语从金融、实务角度进行描述,并提取、归纳出其中所涉及的法律问题,建立起一个研究框架作为基础;第二,从法理以及各国国内法的角度对所设法律问题点进行研究判断,权衡其在各国国内法上的法律效力;第三,金融衍生交易实践给各国国内法建设与法学理论完善方面提出新的课题与挑战,法学理论与国内法面对衍生交易所产生的信用风险,将如何应对这种影响。金融衍生交易法制是一个大题目,涵盖的法律问题众多,本文以特定的金融衍生交易案例为线索,深入到具体交易中去,探寻交易案例背后所反映出的信用风险法律问题,希望对完善我国金融衍生交易秩序起到推动作用。更多还原

【Abstract】 With the accelerating development of financial globalization, liberalization and marketization, it is urgent to concern the development of financial derivatives in other countries. In knowing about their function and risks, especially after the events of bankruptcy of Enron Corp., Barings Bank and China Aviation Oil (Singapore) Corp., it is possible to set up the mechanism of preventing the risks in financial derivatives based on status quo in this area in China so as to develop the market of financial derivatives.In this paper, the credit risk of financial derivatives contracts carries out its research on legal issues, from the three levels: Firstly, it is based on a legal perspective on the financial derivatives transactions with repeat code for interpretation, that is the description of its words on financial derivatives transactions is in the eyes of finance and practice, sums up the legal issues, and establishes a research framework as a basis. Secondly, it carries on the research of the legal issues from the theory of law as well as the various countries’ domestic laws and measures it in the various countries’ domestic laws on legal effect. Thirdly, the financial derivatives transaction proposes the new task and the challenge: the legal theory and the domestic law is how to deal with the influence which the credit risk of financial derivatives produces.The legal system is a big topic of financial derivatives transactions, covering many legal issues. The paper takes the typical cases of financial derivatives transactions as a clue, penetrates into the concrete transactions, and explores legal problems about the credit risk behind it. The writer hopes that the paper can play a promoting role in improving our financial derivatives transactions.更多还原