本文選題：航運金融　切入點：法律監(jiān)管　出處：《大連海事大學》2017年碩士論文

【摘要】：航運金融是指金融業(yè)(金融機構及輔助機構)在一定市場環(huán)境下,為滿足航運業(yè)(航運企業(yè)及相關企業(yè))不斷變化中的發(fā)展需求,通過實踐結合法律政策的方式,創(chuàng)設、提供、改良金融產品及相關服務的過程。航運金融的形在于產品,神在于法律,旨在于創(chuàng)新,大致可分為船舶融資、船舶保險、資金結算和航運金融衍生品四類。過去我們一直將船舶融資與保險視為航運金融的兩大組成部分,但隨著航運業(yè)的不斷發(fā)展,航運金融衍生品越來越受到重視,被視為航運金融的第三大支柱。航運金融衍生品能夠幫助航運企業(yè)規(guī)避風險,減少航運市場周期性變化所帶來的沖擊,有利于企業(yè)的長期發(fā)展。但是,航運金融衍生品也存在著巨大的潛在風險,在這種情況下,有效和適時的監(jiān)管就顯得尤為必要。本文共分為四章,第一章對航運金融衍生品監(jiān)管進行綜述,首先是對航運金融衍生品的概述,航運金融衍生品是國際航運市場重要的風險管理工具,經過市場不斷地創(chuàng)新發(fā)展,形成了以運價指數期貨、遠期運費協議、運費期權三種產品為代表的航運金融衍生品體系。其次介紹了航運金融衍生品監(jiān)管必要性。最后分析了現階段對航運金融衍生品監(jiān)管的主要問題。第二章介紹了發(fā)達國家航運金融衍生品監(jiān)管體系,以英美兩國為代表,并分析了其對我國的經驗借鑒。第三章探討航運金融衍生品的法律監(jiān)管,切入了正文的核心內容,包括航運金融衍生品監(jiān)管的法律依據,航運金融衍生品的監(jiān)管主體和目標,試圖理清脈絡,進而更完善地順應金融全球化和金融自由化的浪潮。最后一章在前文的基礎之上,提出了完善我國航運金融衍生品監(jiān)管的對策,分別從法律體系和監(jiān)管主體兩方面分析,希望能夠對我國航運金融衍生品監(jiān)管提供進一步的幫助。
[Abstract]:Shipping finance refers to the financial industry (financial institutions and auxiliary institutions) in a certain market environment, in order to meet the ever-changing development needs of the shipping industry (shipping enterprises and related enterprises), through practice combined with legal policies to create, provide, The process of improving financial products and related services. The form of shipping finance lies in the product, the god in the law, aims at innovation, can be broadly divided into ship financing, ship insurance, We used to regard ship financing and insurance as two major components of shipping finance, but with the continuous development of the shipping industry, shipping financial derivatives have received more and more attention. It is regarded as the third pillar of shipping finance. Shipping financial derivatives can help shipping enterprises avoid risks, reduce the impact of cyclical changes in shipping market, and benefit the long-term development of enterprises. There are also huge potential risks in shipping financial derivatives. In this case, effective and timely supervision is particularly necessary. This paper is divided into four chapters, the first chapter reviews the supervision of shipping financial derivatives. The first is an overview of shipping financial derivatives. Shipping financial derivatives are an important risk management tool in the international shipping market. After continuous innovation and development in the market, a freight rate index futures and forward freight agreement has been formed. The shipping financial derivatives system represented by freight option is introduced. Secondly, the necessity of shipping financial derivatives regulation is introduced. Finally, the main problems of shipping financial derivatives supervision at present are analyzed. The second chapter introduces the main problems in the regulation of shipping financial derivatives. Developed countries' regulatory systems for shipping financial derivatives, The third chapter discusses the legal supervision of shipping financial derivatives, cut into the core content of the text, including the legal basis of the supervision of shipping financial derivatives. The main body and target of the supervision of shipping financial derivatives, trying to clarify the context, and then more perfect to comply with the wave of financial globalization and financial liberalization. This paper puts forward the countermeasures to improve the supervision of shipping financial derivatives in China, and analyzes them from two aspects: the legal system and the main body of supervision, hoping to provide further help for the supervision of shipping financial derivatives in China.
【學位授予單位】：大連海事大學
【學位級別】：碩士
【學位授予年份】：2017
【分類號】：D922.28

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