本文關(guān)鍵詞： 期貨交易 強行平倉 法律性質(zhì) 法律責任　出處：《延邊大學》2014年碩士論文　論文類型：學位論文

【摘要】：期貨市場已經(jīng)成為中國市場經(jīng)濟的重要組成部分,其“價格發(fā)現(xiàn),規(guī)避風險”的功能日益發(fā)揮作用,為國民經(jīng)濟健康發(fā)展和平穩(wěn)運行提供了有效的風險管理場所和手段。隨著期貨市場的發(fā)展,法學界面臨的課題日益增加,但和期貨市場有關(guān)的研究成果比較少,不能滿足實際需要,制約這期貨市場的發(fā)展。 強行平倉制度是控制期貨市場風險的重要制度,在期貨市場上發(fā)揮舉足輕重的作用。強行平倉在我們的期貨市場上是一個非常難以界定的問題,同時也是熱點、難點問題。圍繞著強行平倉產(chǎn)生了眾多糾紛,各方爭論不斷,也給司法裁判帶來了很多難度。鑒于此,有必要對期貨交易中的強行平倉制度進行研究,通過法理上的分析、法律法規(guī)的梳理,為立法工作和司法實踐提供一些有益的思考。 本文共分五個部分來研究期貨交易中的強行平倉制度。第一部分是緒論,主要內(nèi)容是研究期貨交易中強行平倉的目的和意義,目前國內(nèi)外對此問題的研究現(xiàn)狀和本文的研究范圍及方法。第二部分是期貨交易中強行平倉的概述,主要包括強行平倉的概念,強行平倉的產(chǎn)生和沿革,強行平倉的適用情形和境外期貨市場的強行平倉制度。第三部分分析強行平倉的相關(guān)法律問題,主要包括界定強行平倉的法律性質(zhì),結(jié)合案例分析來明確強行平倉的責任歸屬,并指出我國目前強行平倉的主要不足。第四部分通過呼吁盡快出臺《期貨法》,在《期貨法》中明確強行平倉的法律性質(zhì),建立動態(tài)保證金制度,加強對投資者的風險意識教育等措施來完善強行平倉制度。最后為結(jié)語,通過以上問題的闡述,希望通過立法手段完善強行平倉制度,從而強化我國期貨市場的風險控制,維護期貨市場的長遠發(fā)展。
[Abstract]:The futures market has become an important part of China's market economy, and its function of "price discovery, risk aversion" is playing an increasingly important role. It provides an effective risk management place and means for the healthy development and smooth operation of the national economy. With the development of the futures market, there are more and more topics facing the law circle, but the research results related to the futures market are relatively few. Can not meet the actual needs, restricting the development of the futures market. The forced liquidation system is an important system to control the risk of futures market, and plays an important role in the futures market. Forced closure of positions is a very difficult problem to define in our futures market, and it is also a hot spot. There are many disputes around the forced closing of positions, and the disputes between the parties have brought a lot of difficulties to the judicial decision. In view of this, it is necessary to study the system of forced closure of positions in futures trading and analyze it through legal theory. The combing of laws and regulations provides some beneficial thinking for legislative work and judicial practice. This paper is divided into five parts to study the forced closure system in futures trading. The first part is the introduction, the main content is to study the purpose and significance of forced closure in futures trading. The second part is an overview of the forced closing of positions in futures trading, including the concept of forced closure, the emergence and evolution of forced closure of positions. The third part analyzes the relevant legal issues of forced closing of positions, including defining the legal nature of forced closing of positions, and making clear the attribution of liability for forced closure of positions in combination with case studies. It also points out the main deficiency of the forced closing of positions in our country at present. Part 4th, by calling for the introduction of the Futures Law as soon as possible, clearly defines the legal nature of the forced closing of positions in the Futures Law, and establishes a dynamic margin system. Strengthening the risk awareness education of investors to improve the forced closing system. Finally, as the conclusion, through the elaboration of the above problems, we hope to improve the forced closing system through legislative means, thereby strengthening the risk control of China's futures market. To maintain the long-term development of the futures market.
【學位授予單位】：延邊大學
【學位級別】：碩士
【學位授予年份】：2014
【分類號】：D922.287

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本文編號：1497133