融资融券业务担保法律制度选择

发布时间：2018-07-01 13:52

本文选题：融资融券 + 信托　；参考：《华东政法大学》2010年硕士论文

【摘要】： 融资融券作为近期证券市场热点,其在活跃市场、改变股市“单边市”状况及推进金融制度创新等方面都有着重大意义。但同时,它所存在的财务杠杆效应却容易带来风险的放大。如何通过融资融券担保制度的设计防范风险,顺利地为这一金融创新制度保驾护航,是本文所要探讨的。文章共分为五个部分,第一、二部分在对融资融券业务做了简要分析后得出应然层面的担保制度应具备的品性,第三和第四部分再从目前证券业界和监管部门对融资融券担保制度的设计入手,探讨现有的制度安排是否符合商业实践的要求,是否与即有的法律相冲突。在文章的第五部分进而引出功能导向的立法思路,审视既有的法律法规对各方的权利义务安排,尝试利用现有的法制资源,发展出既符合证券业交易需求,又不违反民商法基本原理的担保规则,以最小的成本推进改革。
[Abstract]:As a hot spot in the recent securities market, margin financing has great significance in activating the market, changing the "one-sided market" of the stock market and promoting the innovation of financial system. But at the same time, its financial leverage effect is easy to bring risk amplification. How to prevent risks through the design of margin guarantee system and how to protect this financial innovation system smoothly is discussed in this paper. The article is divided into five parts. The first and second parts make a brief analysis of margin trading business. The third and fourth parts start with the current design of securities industry and regulatory department to discuss whether the existing institutional arrangements meet the requirements of commercial practice and whether they conflict with the existing laws. In the fifth part of the article, it leads to the legislative thinking of function orientation, examines the existing laws and regulations' arrangement of rights and obligations to all parties, and tries to utilize the existing legal resources to develop the securities trade which conforms to the needs of the securities trade. Also does not violate the civil and commercial law basic principle guarantee rule, advances the reform with the minimum cost.
【学位授予单位】：华东政法大学
【学位级别】：硕士
【学位授予年份】：2010
【分类号】：D922.287

【引证文献】