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Research on Financial Derivatives Supervising Legal System

Author: LiuXiaoXiang
Tutor: ShengXueJun
School: Southwest University of Political Science
Course: Legal
Keywords: KODA Financial derivatives Financial products Regulatory Legal system
CLC: D922.28
Type: Master's thesis
Year: 2010
Downloads: 379
Quote: 0
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Abstract


Since the outbreak of the financial crisis, China invested heavily in KODA products of banks in Hong Kong investors suffered huge losses, KODA event, represented by a series of disputes, this phenomenon has aroused great concern of China's financial sector and the legal profession and widely discussed. KODA is essentially a financial derivative financial products, prohibit the sale itself extremely complex and high risk in many countries. For China's financial markets, it is a new thing, and so on regulating the legal system for such products is relatively scarce. Therefore, for financial derivative financial products regulatory regime has a certain theoretical and practical significance. This paper is divided into four parts to study the financial derivatives regulatory legal system. The first part of the problem. First to KODA event, for example leads to the problem: a large number of investors to invest in KODA products had a dispute and by not properly resolved. KODA contract from the analysis of the nature of their legal relationship to start, that KODA is essentially a high risk of financial derivative financial products, one important reason for the dispute has arisen because of the lack of effective supervision of financial derivative financial products . The second part, combined with the first part of the question and explore in-depth analysis of KODA products, financial derivative financial products with great risk, the risk of asymmetry of the parties to the transaction, the ability to access information asymmetry, coupled with play foreign exchange transactions, cross-border transactions impact of these factors, so it is very necessary to regulate financial derivative financial products. The third part, on the basis of the analysis on the the KODA events various reasons, the main problems of financial derivatives regulatory regime. Macro lack of a comprehensive regulatory legal system and to adapt the regulatory system, the lack of micro regulatory definition of the main players in the market, over-the-counter transactions and cross-border transactions regulatory system is not perfect, this is the main reason for these problems. The fourth part, in the third part of the analysis on the basis of the main problems of financial derivatives regulatory legal system, drawing on the experience at home and abroad, combined with China's actual conditions, the principle of regulation of financial derivatives. From macro to micro and issue-specific recommendations to build specific systems, such as regulatory mode is selected, the improvement of the legal system, market access regulation, information disclosure regulation, financial derivatives, cross-border transactions and oversight and management of international cooperation, derivative products to foreign financial institutions special supervision.

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CLC: > Political, legal > Legal > Chinese law > Financial Law
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