本文選題：期貨　切入點：期貨合同　出處：《華中師范大學(xué)》2002年碩士論文　論文類型：學(xué)位論文

【摘要】： 我國期貨市場正由研究試點階段向常規(guī)發(fā)展階段過渡，先后經(jīng)歷了方案研究、現(xiàn)貨試點、期貨試點、治理整頓等幾個時期。在不同的時期，合同始終作為一種交易形式而存在，并經(jīng)歷了由遠期合同向期貨合同的轉(zhuǎn)變。期貨合同作為期貨交易的載體，其在克服遠期合同缺陷的同時，獲得了許多新的特質(zhì)，，引發(fā)了很多法律問題。目前，我國對期貨合同的認識大部分尚停留在期貨業(yè)界，理論界和實務(wù)界很少有人在期貨業(yè)和民商法研究之間作溝通式的探討。因此，本文擬從對期貨合同的法律界定、主體識別、運作過程和立法構(gòu)想等四個方面對期貨合同作一鳥瞰，以期澄清理論和實踐中的誤區(qū)。本文綜合運用了比較法學(xué)、經(jīng)濟法學(xué)和歷史學(xué)等多學(xué)科的比較方法，既從宏觀上對期貨合同形成與歷史演變進行研究，又從微觀上對期貨合同的各具體要素進行分析，并提出了建立期貨法律體系的觀點。首先，筆者界定了期貨合同的內(nèi)涵．通過介紹期貨合同的用語及歷史沿革，分析其發(fā)展脈絡(luò)及缺陷，揭示了期貨合同的特征及內(nèi)涵。筆者認為，期貨合同標(biāo)的是期貨商品，期貨合同為交易者之間的一種協(xié)議。其次，研究了期貨合同的主體。筆者界定了期貨合同的主體標(biāo)準，逐一識別期貨市場的主體，重點討論了期貨經(jīng)紀商的內(nèi)涵和特征，剖析了不同法系下的期貨經(jīng)紀商和客戶的不同法律地位。筆者認為，在我國，期貨合同的主體是期貨經(jīng)紀商而不是客戶。第三，研究了期貨合同從訂立、對沖到消滅的整個運作過程。作者通過對對沖觀點的分析，指出對沖是期貨交易的核心所在，其法律性質(zhì)是合同的轉(zhuǎn)讓，并進行了論證。最后，分析了期貨合同的法律現(xiàn)狀，指出了現(xiàn)行相關(guān)法律的不足，并提出了對現(xiàn)行相關(guān)法律修改的建議和對期貨合同的立法構(gòu)想。
[Abstract]:China's futures market is undergoing a transition from the pilot stage of research to the stage of routine development. It has experienced several periods, such as project research, spot pilot, futures pilot, governance and rectification. In different periods, contracts have always existed as a form of trading. As a carrier of futures trading, futures contracts, while overcoming the defects of forward contracts, have acquired many new characteristics and caused a lot of legal problems. Most of our country's understanding of futures contracts is still in the futures industry, and few people in the theoretical and practical circles discuss the relationship between futures industry and civil and commercial law. Therefore, this paper intends to define the futures contract by law and identify the subject. In order to clarify the misunderstanding in theory and practice, this paper makes a bird 's-eye view of futures contract from four aspects, such as operation process and legislative conception. This paper makes comprehensive use of comparative law, economic law and history, and so on, and makes use of multi-disciplinary comparative methods, such as comparative law, economic law and history, etc. This paper not only studies the formation and historical evolution of futures contracts from the macro perspective, but also analyzes the specific elements of futures contracts from a micro perspective, and puts forward the viewpoint of establishing a futures legal system. The author defines the connotation of futures contract, through introducing the term and historical evolution of futures contract, analyzing its developing thread and defect, and revealing the characteristics and connotation of futures contract, the author thinks that the subject matter of futures contract is futures commodity. Futures contract is a kind of agreement between traders. Secondly, the main body of futures contract is studied. The author defines the subject standard of futures contract, identifies the main body of futures market one by one, and discusses the connotation and characteristics of futures broker. This paper analyzes the different legal status of futures brokers and clients in different legal systems. The author thinks that in China, the main body of futures contracts is futures brokers rather than clients. Thirdly, the author studies the conclusion of futures contracts. The author points out that hedging is the core of futures trading, and its legal nature is the transfer of contracts. Finally, the author analyzes the current legal situation of futures contracts. This paper points out the deficiency of the current relevant laws, and puts forward some suggestions for amending the existing relevant laws and a legislative conception for futures contracts.
【學(xué)位授予單位】：華中師范大學(xué)
【學(xué)位級別】：碩士
【學(xué)位授予年份】：2002
【分類號】：D913

【參考文獻】

相關(guān)期刊論文 前2條

1 楊永清;論期貨合約的概念[J];法學(xué)研究;1995年03期

2 張國炎;試論期貨合同[J];政治與法律;1993年04期

本文編號：1622466