本文選題：金融資產(chǎn)交易中心 + 法律制度構(gòu)建　； 參考：《浙江大學(xué)》2014年碩士論文

【摘要】：金融資產(chǎn)交易場(chǎng)所主要表現(xiàn)為金融資產(chǎn)交易中心,即為金融資產(chǎn)交易提供場(chǎng)所、撮合買賣金融資產(chǎn)雙方并提供服務(wù)的機(jī)構(gòu)。目前,我國(guó)主要有北京、天津、武漢、四川、重慶、廣東、貴州等金融資產(chǎn)交易所。而浙江于2014年1月1日也成立了金融資產(chǎn)交易中心。隨著國(guó)家金融改革的推進(jìn),經(jīng)濟(jì)、政策等都向著市場(chǎng)化的程度傾斜,尤其是經(jīng)濟(jì)發(fā)展程度較高的浙江,金融機(jī)構(gòu)的數(shù)量位居全國(guó)前列,金融改革也為金融機(jī)構(gòu)的進(jìn)一步發(fā)展提供契機(jī),這必然意味著金融資產(chǎn)交易需求在未來幾年內(nèi)成快速增長(zhǎng)趨勢(shì)。金融資產(chǎn)交易中心的成立正為金融資產(chǎn)交易提供平臺(tái),但由于現(xiàn)有法律法規(guī)缺乏對(duì)金融資產(chǎn)交易中心的規(guī)定,因此亟需制定相關(guān)的交易制度加以規(guī)制,確保交易安全性、有序性。本文以浙江為立足點(diǎn),多產(chǎn)品業(yè)務(wù)設(shè)計(jì),尤其是不良資產(chǎn)交易為中心,論述金融資產(chǎn)交易中心制度構(gòu)建的重點(diǎn)。 除引言和結(jié)束語外,文章分為四個(gè)部分：第一部分梳理金融資產(chǎn)交易的情況,包括金融資產(chǎn)交易相關(guān)概念、交易中心設(shè)立發(fā)展的政治、經(jīng)濟(jì)環(huán)境的背景以及中心存在的現(xiàn)實(shí)困境；第二部分闡述了交易中心應(yīng)采取什么樣的組織形式,通過對(duì)比會(huì)員制和公司制,提出金融資產(chǎn)交易中心應(yīng)采取公司制形式、會(huì)員制的管理模式；第三部分明確了交易中心的交易制度,從交易主體、客體、交易價(jià)格、違約責(zé)任以及會(huì)員退市五個(gè)方面進(jìn)行對(duì)交易中心的制度構(gòu)建；第四部分是對(duì)交易中心的監(jiān)督管理,包括立法上、行政監(jiān)管主體的確定、自律監(jiān)管的補(bǔ)充等方面加以考慮。本文以手上現(xiàn)有的浙江金融資產(chǎn)交易中心交易制度結(jié)合其他地區(qū)的交易規(guī)定,在現(xiàn)有法律制度框架內(nèi),對(duì)地方金融資產(chǎn)交易中心進(jìn)行法律制度構(gòu)建,以期能作為制定法律的參考。
[Abstract]:The place of financial assets trading mainly shows as the financial asset trading center, that is, the institution that provides the place for the transaction of financial assets, matches the two parties of the financial assets and provides services. At present, China mainly has Beijing, Tianjin, Wuhan, Sichuan, Chongqing, Guangdong, Guizhou and other financial assets exchanges. Zhejiang also set up a financial asset trading center on January 1, 2014. With the advancement of the national financial reform, the economy and policies are inclined to the degree of marketization. Especially in Zhejiang, where the economic development is relatively high, the number of financial institutions ranks among the top in the country. Financial reform also provides an opportunity for the further development of financial institutions, which is bound to mean that the demand for financial assets transactions will become a rapid growth trend in the next few years. The establishment of the financial assets trading center is providing a platform for the financial assets trading. However, due to the lack of regulations on the financial assets trading center in the existing laws and regulations, it is urgent to establish relevant trading systems to ensure the transaction security. Order. This paper focuses on the construction of financial asset trading center system, with Zhejiang as the foothold and multi-product business design, especially non-performing assets transaction as the center. In addition to the introduction and concluding remarks, the article is divided into four parts: the first part reviews the situation of financial asset transactions, including the related concepts of financial asset transactions, the politics of the establishment and development of trading centers, The second part expounds what kind of organization the trading center should take. By comparing the membership system with the corporate system, the paper puts forward that the financial assets trading center should adopt the corporate system. The third part clarifies the trading system of the trading center, including the trading subject, the object, the transaction price, the liability for breach of contract and the member's delisting from the market. The fourth part is the supervision and management of the trading center, including legislation, the determination of the main body of administrative supervision, the supplement of self-regulation and so on. Based on the existing transaction system of Zhejiang Financial assets Trading Center and the transaction regulations of other regions, this paper constructs the legal system of the local financial asset trading center within the framework of the existing legal system. In order to serve as a reference for the formulation of laws.
【學(xué)位授予單位】：浙江大學(xué)
【學(xué)位級(jí)別】：碩士
【學(xué)位授予年份】：2014
【分類號(hào)】：D922.287

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本文編號(hào)：1865746