【摘要】：股指期貨作為資本市場上的一個新生事物衍生于股票交易,其存在對于促進(jìn)股票價格信息流通、穩(wěn)定股票交易價格、轉(zhuǎn)移股票價格風(fēng)險具有重要意義。在經(jīng)歷了近三十年的發(fā)展、完善之后,股指期貨已經(jīng)成為西方資本市場上的一類成熟的衍生產(chǎn)品,對于活躍股票交易、健全資本市場起到了重要作用。隨著我國股票市場的成熟與投資者需求的增加,我國于2010年4月開始了股指期貨交易。雖然一年來股指期貨交易運行健全,沒有出現(xiàn)法律糾紛,但這并不意味著投資者對股指期貨的本質(zhì)認(rèn)識清楚,監(jiān)管者和司法者對股指期貨交易法律關(guān)系和不法行為沒有疑惑,更不意味著我國調(diào)整股指期貨交易的法律規(guī)范已經(jīng)完善。為了消除人們對股指期貨的困惑,完善股指期貨相關(guān)立法,本文運用民商法的基本理論對股指期貨交易的私法構(gòu)造進(jìn)行分析研究。 在論文結(jié)構(gòu)上,本文除了導(dǎo)論和結(jié)論外,主體內(nèi)容分為四章。導(dǎo)論部分在回顧股指期貨交易實踐和理論研究現(xiàn)狀的基礎(chǔ)上提出本文所要研究的問題及意義。并明確本文的研究范圍、研究思路和本文所運用的研究方法。 第一章是股指期貨的概述。本章內(nèi)容首先將股指期貨置入期貨發(fā)展的歷史過程中去探索分析股指期貨的本質(zhì)。在明確了股指期貨的本質(zhì)之后,又進(jìn)一步分析了股指期貨產(chǎn)生的理論基礎(chǔ)和價值功能。隨后又分析了股指期貨的規(guī)范基礎(chǔ)并概括介紹了股指期貨交易法律關(guān)系的內(nèi)容。 第二章是股指期貨買賣法律關(guān)系的私法分析。本章內(nèi)容在明確股指期貨買賣這一法律事實的基礎(chǔ)上,運用民事法律關(guān)系的一般理論從法律關(guān)系的主體、客體、內(nèi)容三個方面對股指期貨買賣法律關(guān)系進(jìn)行全面分析。在對股指期貨買賣法律關(guān)系進(jìn)行透徹分析之后,又對股指期貨合同法律關(guān)系的履行進(jìn)行分析。 第三章是股指期貨交易擔(dān)保關(guān)系的私法分析。本章內(nèi)容首先對股指期貨交易保證金的概念、類型、設(shè)置理念與價值功能等基本問題進(jìn)行介紹。在對股指期貨交易保證金有了宏觀了解的基礎(chǔ)上進(jìn)一步分析股指期貨交易擔(dān)保法律關(guān)系的基本構(gòu)造。在明確了股指期貨交易擔(dān)保法律關(guān)系之后,又對幾種保證金擔(dān)保的保障制度加以介紹。 第四章是股指期貨不法交易行為的私法分析。本章內(nèi)容首先對股指期貨不法交易行為進(jìn)行概述。在對股指期貨不法交易行為有了全面把握之后,接下來的內(nèi)容結(jié)合股指期貨不法交易行為的特征,運用不法行為的構(gòu)成理論和歸責(zé)理論對股指期貨市場操縱行為、股指期貨內(nèi)幕交易行為和股指期貨欺詐行為三種典型的股指期貨市場不法行為進(jìn)行分析和論述。 結(jié)論部分對本文的核心觀點加以總結(jié)和概括,并指出本文的價值所在和有待完善的地方。
[Abstract]:As a new thing in the capital market, stock index futures is derived from stock trading, and its existence is of great significance to promote the circulation of stock price information, stabilize the stock exchange price and transfer the stock price risk. After nearly 30 years of development and improvement, stock index futures have become a kind of mature derivative product in western capital market, which plays an important role in active stock trading and perfecting capital market. With the maturity of China's stock market and the increasing demand of investors, stock index futures trading began in April 2010. Although the trading of stock index futures has been sound and there have been no legal disputes over the past year, this does not mean that investors have a clear understanding of the nature of stock index futures, and regulators and jurists have no doubts about the legal relationship and illegal acts of stock index futures trading. Does not mean that our country adjusts the stock index futures trading the legal norm already consummated. In order to eliminate people's confusion about stock index futures and perfect the relevant legislation of stock index futures, this paper makes an analysis and research on the private law structure of stock index futures trading by using the basic theory of civil and commercial law. In the structure of the thesis, besides the introduction and conclusion, the main content is divided into four chapters. Based on the review of stock index futures trading practice and theoretical research, the introduction points out the problems and significance of this paper. And clear the scope of this study, research ideas and research methods used in this paper. The first chapter is an overview of stock index futures. This chapter firstly puts stock index futures into the history of futures development to explore the nature of stock index futures. After clarifying the essence of stock index futures, the theoretical basis and value function of stock index futures are further analyzed. Then it analyzes the normative basis of stock index futures and introduces the content of legal relationship of stock index futures trading. The second chapter is the private law analysis of the legal relationship of stock index futures trading. Based on the legal facts of stock index futures trading, this chapter makes a comprehensive analysis of the legal relationship of stock index futures trading from three aspects: the subject, the object and the content of the civil legal relationship. After the thorough analysis of the legal relationship of stock index futures trading, the fulfillment of the legal relationship of stock index futures contracts is analyzed. The third chapter is the private law analysis of the guarantee relationship in stock index futures trading. This chapter firstly introduces the concept, type, setting idea and value function of stock index futures trading margin. On the basis of macroscopic understanding of the trading margin of stock index futures, this paper further analyzes the basic structure of the legal relationship of the trading guarantee of stock index futures. After clarifying the legal relationship of guarantee in stock index futures trading, several guarantee systems of margin guarantee are introduced. The fourth chapter is the private law analysis of illegal trading of stock index futures. This chapter first summarizes the illegal trading behavior of stock index futures. After having a comprehensive understanding of the illegal trading behavior of stock index futures, the following contents combine with the characteristics of illegal trading behavior of stock index futures, and use the theory of constitution and imputation of illegal acts to manipulate the stock index futures market. There are three typical illegal behaviors in stock index futures market: insider trading of stock index futures and fraud of stock index futures. The conclusion part summarizes and generalizes the core views of this paper, and points out the value of this paper and the place to be improved.
【學(xué)位授予單位】：中國政法大學(xué)
【學(xué)位級別】：博士
【學(xué)位授予年份】：2011
【分類號】：D912.28;F832.51

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