本文選題：回購交易 + 標(biāo)的證券�。� 參考：《華東政法大學(xué)》2012年碩士論文

【摘要】：回購交易業(yè)務(wù)中，標(biāo)的證券的流轉(zhuǎn)制度是保障交易順利進(jìn)行、維護(hù)交易安全、決定回購交易基本法律關(guān)系的重要制度設(shè)計(jì)，同時(shí)，回購交易中其他配套制度又大多與標(biāo)的證券流轉(zhuǎn)制度息息相關(guān)。從立法的原則上看，回購交易的標(biāo)的證券流轉(zhuǎn)制度通常需要滿足以下三點(diǎn)，一是應(yīng)當(dāng)與上位法相適應(yīng)；二是平衡交易雙方的利益；三是保障交易的安全和效率。 目前，我國(guó)回購交易市場(chǎng)存在的交易品種包括買斷式國(guó)債回購、質(zhì)押式國(guó)債回購、質(zhì)押式報(bào)價(jià)回購、約定購回式證券交易等多種類型，交易場(chǎng)所也橫跨銀行間市場(chǎng)和交易所市場(chǎng)。隨著我國(guó)融資融券業(yè)務(wù)的推出，各方對(duì)如何構(gòu)造我國(guó)融資融券業(yè)務(wù)中標(biāo)的證券的擔(dān)保機(jī)制產(chǎn)生了很大的爭(zhēng)議，提出了很多的觀點(diǎn)。回購交易中標(biāo)的證券的流轉(zhuǎn)制度與融資融券業(yè)務(wù)中標(biāo)的證券的擔(dān)保制度具有一定的互通性，當(dāng)然也存在明顯的區(qū)別，因此，本文力圖在現(xiàn)有回購交易實(shí)踐的基礎(chǔ)上，借鑒其他交易方法中的合理構(gòu)造，，進(jìn)一步完善回購交易標(biāo)的證券流轉(zhuǎn)的基本法律關(guān)系，并使之能在現(xiàn)行的法律環(huán)境中順暢運(yùn)行。 本文主體部分由四部分構(gòu)成。 第一部分從證券回購交易的基本法律關(guān)系出發(fā)，區(qū)分不同類型的回購交易，并進(jìn)一步介紹了約定購回式證券交易的基本概念。 第二部分對(duì)現(xiàn)行回購交易模式進(jìn)行梳理，并對(duì)各類型回購交易中標(biāo)的證券的流轉(zhuǎn)制度進(jìn)行評(píng)價(jià)。 第三部分結(jié)合現(xiàn)有制度，闡釋約定購回式證券交易中標(biāo)的證券流轉(zhuǎn)的基本制度設(shè)計(jì)。 第四部分針對(duì)約定購回式證券交易的標(biāo)的證券流轉(zhuǎn)制度，探討不同賬戶制度設(shè)計(jì)的方式。
[Abstract]:In the business of repurchase transaction, the circulation system of the underlying securities is an important system design that ensures the smooth progress of the transaction, maintains the transaction security and determines the basic legal relationship of the repo transaction, at the same time, Other supporting systems in repo transactions are closely related to the underlying securities circulation system. In the principle of legislation, the circulation system of the underlying securities in repurchase transactions usually needs to meet the following three points: first, it should be adapted to the upper law; second, it should balance the interests of both sides of the transaction; third, it should ensure the security and efficiency of the transaction. At present, there are many types of transactions in China's repo market, including buyout bond repurchase, pledge bond repurchase, pledge quote repurchase, agreed buyback securities trading, etc. Trading places also span interbank and exchange markets. With the introduction of margin and short margin business in our country, many opinions have been put forward on how to construct the guarantee mechanism of the securities that have won the bid in the margin and short bond business in our country. The circulation system of the securities winning the repurchase transaction and the guarantee system of the securities awarded in the margin and short securities business have some interoperability, of course, there are obvious differences. Therefore, this paper tries to build on the existing practice of repurchase transactions. With reference to the reasonable structure of other trading methods, the basic legal relationship of the securities circulation of repurchase transactions is further improved, and it can run smoothly in the current legal environment. The main part of this paper consists of four parts. The first part distinguishes different types of repurchase transactions from the basic legal relationship of securities repurchase transactions and further introduces the basic concept of contractual buyback securities trading. The second part combs the current repurchase transaction mode and evaluates the circulation system of each type of buy-back transaction. The third part, combined with the existing system, explains the basic system design of the securities circulation. The fourth part discusses the ways of designing different account systems in accordance with the target securities circulation system.
【學(xué)位授予單位】：華東政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2012
【分類號(hào)】：D922.287;F832.51

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本文編號(hào)：1790715