本文選題：IB業(yè)務(wù)　切入點(diǎn)：期貨　出處：《華東師范大學(xué)》2012年碩士論文

【摘要】：2010年股指期貨的推出使期貨市場(chǎng)進(jìn)入了一個(gè)嶄新的階段。越來越多的投資者開始認(rèn)識(shí)、熟悉、參與期貨交易,證券公司與期貨公司意識(shí)到自己服務(wù)客戶的能力還需提升,于是掀起了新一輪證券公司收購期貨公司和申請(qǐng)中間介紹業(yè)務(wù)資格的熱潮。隨著證券公司與期貨公司之間的業(yè)務(wù)量不斷增加,有關(guān)業(yè)務(wù)的糾紛也不斷發(fā)生,處于弱勢(shì)地位的投資者往往是損失的承受者,如何運(yùn)用法律保護(hù)投資者利益已經(jīng)成為廣大法律工作者刻不容緩的工作。在這樣的背景下,本文開始構(gòu)思以保護(hù)投資者權(quán)益為主題,對(duì)券商IB (Introducing Broker,簡稱IB)業(yè)務(wù)從法律角度進(jìn)行分析,提出幾點(diǎn)有關(guān)保護(hù)投資者權(quán)益的淺薄建議。 本文正文共有五部分,包括導(dǎo)論和四個(gè)章節(jié)。導(dǎo)論主要以我國期貨市場(chǎng)發(fā)展現(xiàn)狀為背景,闡述券商IB業(yè)務(wù)存在的必要性,同時(shí)運(yùn)用比較分析的方法研究我國法律與國外的不同之處,從而道出本文的創(chuàng)新點(diǎn)。 第一章對(duì)券商IB業(yè)務(wù)的概念進(jìn)行了厘定。券商IB業(yè)務(wù),又稱介紹經(jīng)紀(jì)人業(yè)務(wù),是指證券公司將自己客戶資源中有意參與期貨交易的客戶介紹給期貨公司,簽訂協(xié)議,并向期貨公司收取傭金的居間行為。本章通過概念分析出券商IB業(yè)務(wù)的特點(diǎn),并對(duì)證券公司與期貨公司之間簽訂委托協(xié)議的屬性進(jìn)行討論,闡述投資者保護(hù)的法律理論基處同時(shí)歸納了我國現(xiàn)有相關(guān)法律規(guī)定,為下文的法律研究奠定了基礎(chǔ)。 第二章主要從券商IB業(yè)務(wù)主體入手,對(duì)證券公司、期貨公司、投資者和他們之間的法律關(guān)系逐一剖析,通過對(duì)國內(nèi)外法律規(guī)定的比較,分析出目前我國法律存在的缺陷以及對(duì)投資者保護(hù)不足之處。 第三章總結(jié)了現(xiàn)有投資者保護(hù)制度,分別從風(fēng)險(xiǎn)防范制度、期貨保證金制度和交易結(jié)算制度三點(diǎn)講述以往學(xué)者提出對(duì)投資者不利的風(fēng)險(xiǎn)及相關(guān)法律建議,筆者在以往建議基礎(chǔ)上提出補(bǔ)充建議。 第四章是本文的創(chuàng)新之處。筆者提出不同以往學(xué)者的法律風(fēng)險(xiǎn)控制建議來保護(hù)投資的權(quán)益。首先在我國現(xiàn)有法律規(guī)定內(nèi)提出加強(qiáng)信息披露和監(jiān)管的建議,在此基礎(chǔ)上積極適用“揭開公司面紗”制度增加承擔(dān)責(zé)任的主體,最后建議調(diào)整一些具體法律規(guī)定,將處于法律調(diào)整之外的IB業(yè)務(wù)納入到法律當(dāng)中來。 本文研究的目的是通過分析券商IB業(yè)務(wù)現(xiàn)有法律規(guī)定,希望相關(guān)法律為了券商IB業(yè)務(wù)的蓬勃發(fā)展作些調(diào)整,從而能夠更好地維護(hù)期貨市場(chǎng)有序發(fā)展,保護(hù)投資者權(quán)益。筆者希望提出淺薄建議能夠?yàn)槿蘄B業(yè)務(wù)理論基礎(chǔ)的奠定和法律的完善盡自己微薄之力。
[Abstract]:The launch of stock index futures in 2010 has brought the futures market to a new stage. More and more investors are beginning to understand, become familiar with, participate in futures trading, and securities companies and futures companies realize that their ability to serve their customers needs to be improved. As a result, a new wave of securities companies acquiring futures companies and applying for intermediate introduction of business qualifications was launched. As the volume of business between securities companies and futures companies continued to increase, disputes over related businesses also continued to occur. Investors in a weak position are often the victims of losses. How to use the law to protect the interests of investors has become an urgent task for the majority of legal workers. This paper starts with the idea of protecting investors' rights and interests, analyzes the business of IB introducing broker (IBD) from the legal angle, and puts forward some shallow suggestions on protecting investors' rights and interests. There are five parts in this paper, including introduction and four chapters. The introduction is mainly based on the present situation of futures market in China, and expounds the necessity of the existence of IB business. At the same time, we use the method of comparative analysis to study the differences between China's law and foreign countries, so as to point out the innovation of this paper. The first chapter defines the concept of the IB business of the securities firm. The IB business of the securities firm, also known as the introduction of broker business, refers to the securities company introducing to the futures company the clients who are interested in participating in the futures trading in their customer resources and signing an agreement. This chapter analyzes the characteristics of the IB business of the securities firm through the concept, and discusses the attribute of the entrustment agreement between the securities company and the futures company. This paper expounds the legal theory of investor protection and sums up the existing relevant laws and regulations of our country, which lays a foundation for the following legal research. The second chapter analyzes the legal relationship among securities companies, futures companies, investors and them one by one, through the comparison of domestic and foreign laws and regulations. This paper analyzes the defects of Chinese law and the deficiency of investor protection. The third chapter summarizes the existing investor protection system, respectively from the risk prevention system, the futures margin system and the trading settlement system to describe the past scholars put forward adverse risks to investors and related legal recommendations. The author puts forward supplementary suggestions on the basis of previous suggestions. The fourth chapter is the innovation of this paper. The author puts forward different legal risk control suggestions from previous scholars to protect the rights and interests of investment. On this basis, we should actively apply the system of "unveiling the corporate veil" to increase the subject of responsibility, and finally propose to adjust some specific legal provisions and bring the IB business beyond the legal adjustment into the law. The purpose of this paper is to analyze the existing laws and regulations of the IB business of securities firms, and hope that the relevant laws can make some adjustments for the vigorous development of the IB business of securities firms, so as to better maintain the orderly development of the futures market. To protect investors' rights and interests, the author hopes to put forward some shallow suggestions which can contribute to the establishment of the theoretical foundation of IB business and the perfection of the law.
【學(xué)位授予單位】：華東師范大學(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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