无纸化证券担保制度研究
发布时间：2018-11-21 18:39
【摘要】：本文是在证券的无纸化这一背景之下,通过对证券的无纸化进行分析,研究了其对传统证券担保制度的影响之后,介绍了国外无纸化证券担保的立法经验,最后分析了我国的无纸化证券担保制度,提出我国相关立法中的缺陷及完善意见。本文共分四章,主要内容如下: 第一章介绍了证券的无纸化及其对证券担保的影响。证券在产生之初采用纸质凭证的形式存在,19世纪后半叶证券的无纸化进程向世界各国蔓延开来。消灭了证券实物券以后,证券投资者要在所持有的证券上设定担保不能再采取交付证券或在证券上背书的方式,只能在其证券账户上做相应的操作来设定担保权益;证券投资者要在其所持证券上设定担保或者实现其享有的证券担保权,必须要通过负责维护其证券账户的中介机构的配合。 第二章介绍了国际统一私法协会制定的《中介化证券实体法公约》及美国《统一商法典》中的相关规定。本章重点分析了《中介化证券实体法公约》中证券担保的让与担保方式、担保证券的使用、证券担保权的实现方式中的轧抵了结方式;重点分析了美国《统一商法典》中无纸化证券担保权的设立标准——“控制”。 第三章系统介绍了我国的无纸化证券担保法律制度。我国的无纸化证券担保制度分散规定在《物权法》、《担保法》、《公司法》等法律和一系列的单行法规和无法律效力的相关机构的规定中。 第四章分析的是我国的无纸化证券担保法律制度的缺陷及完善。我国无纸化证券担保制度主要存在以下几点不足:立法严重滞后于实践;法律对担保证券的使用态度消极;证券担保权的设立标准不科学;对担保契约性质的定位不合理;证券担保权的实现方式单调等。完善建议包括增加无纸化证券担保的让与担保方式;鼓励担保证券在担保期间的使用;将证券担保权的设立标准确立为对证券的控制;明确担保契约的性质为诺成性合同;增加无纸化证券担保权轧抵了结的实现方式等。
[Abstract]:In this paper, under the background of paperless securities, through the analysis of paperless securities, after studying its influence on the traditional security guarantee system, this paper introduces the legislative experience of foreign paperless securities guarantee. Finally, the paper analyzes the guarantee system of paperless securities in our country, and puts forward the defects and suggestions in the relevant legislation of our country. This paper is divided into four chapters. The main contents are as follows: the first chapter introduces the paperless securities and its influence on securities guarantee. At the beginning of its emergence, securities existed in the form of paper certificates, and the paperless process of securities spread to the world in the latter half of the 19th century. After the elimination of the securities physical securities, the securities investors can no longer take the form of delivery of securities or endorsement of securities in the securities held by the security investors can only do the corresponding operation in its securities account to create security interests; A securities investor must cooperate with an intermediary responsible for maintaining its securities account in order to create security on its holdings or to realize its security right in securities. The second chapter introduces the International Institute for the Unification of Private Law (Unidroit) Convention on substantive Law on intermediated Securities and the relevant provisions of the United States Commercial Code. This chapter focuses on the transfer security mode of securities security, the use of secured securities, the realization of securities security rights in the settlement of securities in the Convention on substantive Law of intermediated Securities. The establishment standard of security right in paperless securities in the uniform Commercial Code of the United States-"Control" is emphatically analyzed. The third chapter systematically introduces the guarantee law system of paperless securities in our country. The security system of paperless securities in our country is regulated in the laws of property Law, guarantee Law, Company Law, and a series of laws and regulations, which have no legal effect. The fourth chapter analyzes the defects and perfection of the legal system of the guarantee of paperless securities in our country. There are several shortcomings in the security system of paperless securities in our country: legislation lags behind practice seriously; the legal attitude towards the use of secured securities is negative; the establishment standard of security right of securities is not scientific; the orientation of the nature of security contract is unreasonable; The realization of security right in securities is monotonous. The recommendations include the addition of assignment security for paperless securities; the encouragement of the use of secured securities during the security period; the establishment of a standard for establishing security rights in securities as control over securities; and the clarification of the nature of security contracts as binding contracts; Increase the realization of security rights in paperless securities.
【学位授予单位】：河北大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.287;D922.291.91;D923
本文编号：2347931
[Abstract]:In this paper, under the background of paperless securities, through the analysis of paperless securities, after studying its influence on the traditional security guarantee system, this paper introduces the legislative experience of foreign paperless securities guarantee. Finally, the paper analyzes the guarantee system of paperless securities in our country, and puts forward the defects and suggestions in the relevant legislation of our country. This paper is divided into four chapters. The main contents are as follows: the first chapter introduces the paperless securities and its influence on securities guarantee. At the beginning of its emergence, securities existed in the form of paper certificates, and the paperless process of securities spread to the world in the latter half of the 19th century. After the elimination of the securities physical securities, the securities investors can no longer take the form of delivery of securities or endorsement of securities in the securities held by the security investors can only do the corresponding operation in its securities account to create security interests; A securities investor must cooperate with an intermediary responsible for maintaining its securities account in order to create security on its holdings or to realize its security right in securities. The second chapter introduces the International Institute for the Unification of Private Law (Unidroit) Convention on substantive Law on intermediated Securities and the relevant provisions of the United States Commercial Code. This chapter focuses on the transfer security mode of securities security, the use of secured securities, the realization of securities security rights in the settlement of securities in the Convention on substantive Law of intermediated Securities. The establishment standard of security right in paperless securities in the uniform Commercial Code of the United States-"Control" is emphatically analyzed. The third chapter systematically introduces the guarantee law system of paperless securities in our country. The security system of paperless securities in our country is regulated in the laws of property Law, guarantee Law, Company Law, and a series of laws and regulations, which have no legal effect. The fourth chapter analyzes the defects and perfection of the legal system of the guarantee of paperless securities in our country. There are several shortcomings in the security system of paperless securities in our country: legislation lags behind practice seriously; the legal attitude towards the use of secured securities is negative; the establishment standard of security right of securities is not scientific; the orientation of the nature of security contract is unreasonable; The realization of security right in securities is monotonous. The recommendations include the addition of assignment security for paperless securities; the encouragement of the use of secured securities during the security period; the establishment of a standard for establishing security rights in securities as control over securities; and the clarification of the nature of security contracts as binding contracts; Increase the realization of security rights in paperless securities.
【学位授予单位】：河北大学
【学位级别】：硕士
【学位授予年份】：2011
【分类号】：D922.287;D922.291.91;D923
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