【摘要】：金融衍生交易終止凈額結(jié)算制度作為金融衍生交易雙方所簽訂的金融衍生交易協(xié)議中的重要條款,其有助于交易的順利進(jìn)行,同時(shí)能夠使交易雙方在交易過程中避免法律風(fēng)險(xiǎn),同時(shí)在違約事件發(fā)生時(shí),能夠及時(shí)確保交易雙方的權(quán)益不受損害,進(jìn)而化解金融衍生交易中的信用風(fēng)險(xiǎn)和整體風(fēng)險(xiǎn)。但是在該項(xiàng)制度發(fā)揮巨大功能的同時(shí),也不可避免的與我國(guó)的《企業(yè)破產(chǎn)法》相關(guān)法律制度產(chǎn)生了不可調(diào)和的巨大沖突,為了順利引入該項(xiàng)制度安排并使其與我國(guó)的法律環(huán)境相容,就必須完善立法,使終止凈額結(jié)算豐富的內(nèi)涵在我國(guó),以立法的形式最終確立下來,以解決其效力和可執(zhí)行力的問題,最終使終止凈額結(jié)算能夠從經(jīng)濟(jì)、法律層面都能更好地服務(wù)于我國(guó)的金融衍生交易實(shí)踐。本文擬從金融衍生交易終止凈額結(jié)算的角度切入:第一部分對(duì)金融衍生品、終止凈額結(jié)算以及金融衍生品終止凈額結(jié)算分別作出了具體詮釋,同時(shí)對(duì)終止凈額結(jié)算制度的法律性質(zhì)、巨大意義以及其與抵銷之間的本質(zhì)區(qū)別進(jìn)行了分析。第二部分從國(guó)際法規(guī)入手,分析發(fā)達(dá)國(guó)家以及典型地區(qū)金融衍生品終止凈額結(jié)算的相關(guān)立法規(guī)定,剖析其對(duì)金融衍生品終止凈額結(jié)算立法采取的立法目的、立法理念、有效解決或者避免該制度與破產(chǎn)法相關(guān)規(guī)定的沖突的手段等方面,為我國(guó)構(gòu)建金融衍生品終止凈額結(jié)算立法進(jìn)行制度借鑒。第三部分結(jié)合我國(guó)金融衍生品終止凈額結(jié)算的現(xiàn)狀,為了保護(hù)金融衍生交易雙方合法利益以及落實(shí)終止凈額結(jié)算制度的有效性和可執(zhí)行性,同時(shí)為了促進(jìn)我國(guó)與國(guó)際立法趨勢(shì)相一致,得出我國(guó)應(yīng)完善金融衍生品終止凈額結(jié)算制度立法�；诮�(jīng)濟(jì)發(fā)展水平的上升、金融衍生品迅速發(fā)展、金融衍生交易增多以及現(xiàn)行法律、法規(guī)的理念等角度,深度剖析我國(guó)金融衍生品終止凈額結(jié)算立法的細(xì)節(jié),為我國(guó)未來立法提供依據(jù)。最后一部分根據(jù)論文對(duì)我國(guó)未來金融衍生品終止凈額結(jié)算立法的梳理,轉(zhuǎn)變金融衍生品終止凈額結(jié)算立法的立法理念,同時(shí)構(gòu)建金融衍生品終止凈額結(jié)算的立法原則,在這一視角下,探討如何建立金融衍生品終止凈額結(jié)算立法基本制度、基本規(guī)則及如何實(shí)現(xiàn)其可執(zhí)行性與有效性等難題。
[Abstract]:As an important clause in the financial derivative transaction agreement signed by the parties to the financial derivative transaction, the financial derivative transaction termination net settlement system is conducive to the smooth progress of the transaction and can enable both parties to avoid legal risks in the course of the transaction. At the same time, in the event of default, it can ensure that the rights and interests of both parties will not be damaged in time, and then resolve the credit risk and the overall risk in financial derivative transactions. However, while the system plays a huge function, it inevitably conflicts with the relevant legal system of our country's Enterprise bankruptcy Law. In order to introduce this system arrangement smoothly and make it compatible with the legal environment of our country, we must perfect the legislation, make the rich connotation of the termination net settlement in our country, and finally establish it in the form of legislation. In order to solve the problem of its effectiveness and executive power, the termination net settlement can serve the financial derivative transaction practice of our country better from the economic and legal aspects. This paper intends to start from the perspective of financial derivatives trading termination netting: the first part of the financial derivatives, the termination of netting and financial derivatives to the net settlement of the specific interpretation, respectively, At the same time, it analyzes the legal nature, great significance and the essential difference between the termination of netting system and the set-off. The second part starts with the international laws and regulations, analyzes the relevant legislative provisions of financial derivatives terminating net settlement in developed countries and typical regions, and analyzes the legislative purpose and legislative idea of the financial derivatives termination net settlement legislation. The effective means to resolve or avoid the conflict between the system and the relevant provisions of the bankruptcy law are used for reference for the construction of the net settlement legislation for financial derivatives termination in China. The third part combines the current situation of financial derivatives termination netting, in order to protect the legitimate interests of both parties to financial derivatives transactions and the effectiveness and enforceability of implementing the termination netting system. At the same time, in order to promote the trend of international legislation, it is concluded that our country should perfect the legislation of financial derivatives termination net settlement system. Based on the rising level of economic development, the rapid development of financial derivatives, the increase in financial derivatives transactions and the concept of existing laws and regulations, the details of the legislation on the termination of netting of financial derivatives in China are analyzed in depth. To provide the basis for the future legislation of our country. In the last part, according to the combing of the future financial derivatives termination netting legislation in China, we change the legislative concept of financial derivatives terminating netting legislation, and construct the legislative principle of financial derivatives terminating netting settlement at the same time. From this perspective, this paper discusses how to establish the basic system of financial derivatives termination netting legislation, basic rules and how to achieve its implementability and effectiveness.
【學(xué)位授予單位】：遼寧大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2015
【分類號(hào)】：D922.291.92

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