本文選題：黃金市場(chǎng) + 監(jiān)管制度��； 參考：《西南政法大學(xué)》2014年碩士論文

【摘要】：黃金市場(chǎng)作為金融市場(chǎng)的重要組成部分，與國(guó)家利益、經(jīng)濟(jì)社會(huì)發(fā)展以及人們的日常生活密切相關(guān)。2008年金融危機(jī)爆發(fā)以來(lái)，人們的避險(xiǎn)意識(shí)提高，黃金成為專業(yè)投資機(jī)構(gòu)和普通大眾青睞的投資對(duì)象。而中國(guó)黃金市場(chǎng)經(jīng)歷近20年的改革實(shí)踐，也已經(jīng)發(fā)展成為黃金產(chǎn)量居世界第一、消費(fèi)量居世界第一、現(xiàn)貨交易量居世界第一、期貨交易量居世界第四的綜合性產(chǎn)業(yè)市場(chǎng)。相較于黃金市場(chǎng)的迅速發(fā)展，我國(guó)黃金市場(chǎng)相關(guān)監(jiān)管法律制度亟待完善。 本文共分四個(gè)部門，第一部分對(duì)黃金市場(chǎng)進(jìn)行界定和對(duì)其監(jiān)管法律制度特點(diǎn)進(jìn)行梳理。首先從含義、類型和構(gòu)成要素對(duì)黃金市場(chǎng)進(jìn)行界定，重點(diǎn)強(qiáng)調(diào)現(xiàn)代黃金市場(chǎng)是商品市場(chǎng)、貨幣市場(chǎng)和金融市場(chǎng)共存的多層次市場(chǎng)集合；其次梳理了黃金市場(chǎng)發(fā)展概況，指出當(dāng)代黃金市場(chǎng)主要在市場(chǎng)規(guī)模、市場(chǎng)價(jià)格、市場(chǎng)類型等發(fā)面出現(xiàn)了新的發(fā)展變化；最后指出當(dāng)代黃金市場(chǎng)監(jiān)管法律制度的特點(diǎn)主要包括監(jiān)管具有多層次性、監(jiān)管對(duì)象多元化、衍生品監(jiān)管成為主導(dǎo)及自律監(jiān)管四方面。第二部分對(duì)世界主要黃金市場(chǎng)監(jiān)管法律制度進(jìn)行考察。以立法和監(jiān)管模式為重點(diǎn)，指出黃金市場(chǎng)主要分為以英國(guó)為代表的自律管理分類監(jiān)管體系和美國(guó)為代表的政府主導(dǎo)監(jiān)管體系，，認(rèn)為具備差別化的監(jiān)管理念、分工明確的監(jiān)管體系、優(yōu)質(zhì)的金融機(jī)構(gòu)投資者和注重中央銀行監(jiān)管調(diào)控是世界主要黃金市場(chǎng)監(jiān)管法律制度的核心和經(jīng)驗(yàn)。第三部分對(duì)我國(guó)黃金市場(chǎng)監(jiān)管法律制度的現(xiàn)狀與缺陷進(jìn)行評(píng)述。目前我國(guó)黃金市場(chǎng)監(jiān)管法律制度主要存在法律規(guī)范體系不健全、監(jiān)管機(jī)構(gòu)權(quán)限劃分不明確、行業(yè)組織效用發(fā)揮有限、“地下炒金”法律問(wèn)題突出以及對(duì)當(dāng)前出現(xiàn)的黃金價(jià)格波動(dòng)缺乏宏觀審慎性監(jiān)管五大問(wèn)題。第四部分提出完善我國(guó)黃金市場(chǎng)監(jiān)管法律制度的的具體建議。認(rèn)為應(yīng)遵循適度監(jiān)管、協(xié)調(diào)監(jiān)管、依法監(jiān)管的思路，盡快建立層級(jí)科學(xué)的法律體系、出臺(tái)專門的黃金市場(chǎng)監(jiān)管法；著力解決目前黃金市場(chǎng)“多頭監(jiān)管”亂象，明確各監(jiān)管機(jī)構(gòu)權(quán)限，從分業(yè)監(jiān)管轉(zhuǎn)向統(tǒng)一監(jiān)管體制；完善市場(chǎng)自律監(jiān)管制度，發(fā)揮黃金行業(yè)協(xié)會(huì)作用；結(jié)合案例從協(xié)調(diào)監(jiān)管、市場(chǎng)健全、投資者保護(hù)等角度提出了解決“地下炒金”問(wèn)題的具體措施；最后結(jié)合當(dāng)前黃金價(jià)格劇烈波動(dòng)的事實(shí)背景，提出了應(yīng)強(qiáng)化以央行為主導(dǎo)的宏觀審慎性監(jiān)管的建議。
[Abstract]:As an important part of financial market, gold market is closely related to national interests, economic and social development and people's daily life. Gold has become the object of investment favored by professional investment institutions and the general public. After nearly 20 years of reform, China's gold market has also developed into a comprehensive industrial market with the highest gold output, the largest consumption, the first spot trading volume and the fourth largest futures trading volume in the world. Compared with the rapid development of gold market, China's gold market related regulatory legal system needs to be improved. This paper is divided into four departments. The first part defines the gold market and combs the characteristics of its regulatory legal system. First of all, it defines the gold market from the meaning, the type and the constituent elements, emphasizes that the modern gold market is a multi-level market collection of commodity market, money market and financial market, and then combs the general situation of the gold market development. The paper points out that the modern gold market mainly develops and changes in market scale, market price and market type, and finally points out that the characteristics of the legal system of supervision in the contemporary gold market mainly include the multi-level nature of supervision. Diversification of regulatory objects, derivatives regulation has become the leading and self-regulatory four aspects. The second part of the world's main gold market regulatory legal system to investigate. Focusing on the legislative and regulatory models, the paper points out that the gold market is mainly divided into the self-regulatory classification system represented by the United Kingdom and the government-led regulatory system represented by the United States. The core and experience of the world's main gold market regulatory system is the clear division of labor supervision system, high-quality financial institutional investors and focusing on the supervision and control of the central bank. The third part reviews the current situation and defects of China's gold market regulatory legal system. At present, the legal system of gold market supervision in our country is not perfect, the jurisdiction of the regulatory body is not clear, and the utility of the trade organization is limited. The legal problems of "underground gold speculation" are prominent and lack of macroprudential supervision on the current gold price fluctuation. The fourth part puts forward the concrete suggestions to perfect the legal system of gold market supervision in our country. The author thinks that we should follow the train of thought of moderate supervision, coordinated supervision and legal supervision, establish a hierarchical scientific legal system as soon as possible, introduce a special gold market supervision law, and focus on solving the current "long supervision" chaos in the gold market. To clarify the authority of each regulatory body, from separate supervision to unified regulatory system; to improve the market self-regulatory system and give play to the role of the gold industry association; to coordinate the supervision and control with cases, and to improve the market. This paper puts forward the concrete measures to solve the problem of "underground gold speculation" from the angle of investor protection, and finally puts forward the suggestion that we should strengthen the macro-prudential supervision led by the central bank in the light of the fact that the gold price is fluctuating violently at present.
【學(xué)位授予單位】：西南政法大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.28

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