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Legal Matter Research of Strenthening Financial Derivative Transaction Regulation on the Subprime Mortgage Crisis

Author: QinYiQiang
Tutor: FanXiaoBo
School: China University of Political Science
Course: International Economic Law
Keywords: Subprime mortgage crisis Financial derivative transactions Improve the financial supervision Legal Issues
CLC: D922.28
Type: Master's thesis
Year: 2010
Downloads: 132
Quote: 0
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Abstract

Affected by a combination of factors, the countries in the world financial markets, even in the international financial market, a major event in today's frequent FY vagaries of the financial markets such as financial institutions, businesses and individuals to participate in the main moment facing a huge risk of price changes, but these risks are difficult through traditional financial tools to circumvent. And traditional financial instruments are increasingly unable to meet the needs of financial markets in the main growing hedging, arbitrage, speculation or investment demand. So, as a product of financial innovation and new financial risk management instruments, forwards, futures, options, swaps (swaps) as the main financial derivatives came into being. Financial derivatives market because of its unique risk transfer and price discovery function, rapidly developed into one of the three financial markets to keep pace with the money market, capital market, a huge contribution to the development of the world economy. Throughout the international financial center in the world, and both are highly developed financial derivative transactions land. However, the current international financial regulatory system is \The theory of rational market and market self-regulatory function \The subprime mortgage crisis showed that the supervision of the financial derivatives trading worldwide needs improvement. Perfect the supervision of the financial derivatives trading should depend on the flaws exposed in the event of international financial direction, the point of the risk characteristics of financial derivatives, the international community has reached consensus. Therefore, the summary of the international response to the subprime crisis (and the associated \, to study and perfect a series of legal issues related to the supervision of the financial derivatives trading, has great theoretical value and practical significance. First, from the macro environment and the concept of event level analysis of the causes of the subprime mortgage crisis, Hong Kong's mini-debt crisis conduction mechanisms and their associated legal issues with the supervision of the United States and the international financial derivative transactions into the title, from the level of micro case studies The lessons of the formation mechanism and respond to events, analysis of the characteristics of the basic characteristics of financial derivative transactions, the definition of legal attributes and classification. Then, starting from the analysis of the regulatory body the status quo of a system and pluralism coexist discuss pluralism drawbacks of the regulatory body, set up in financial derivatives market regulation and financial derivative products listed regulatory discussed market access for financial derivatives regulatory issues from starting to discuss the drawbacks narrow the scope of regulation involved in the classification of the subject, and to further discuss the financial derivative transactions involved in the main qualification supervision and investor protection issues, from the three aspects of the regulatory regime, regulatory philosophy and regulatory means to discuss regulatory analysis of financial derivative transactions exist, emphasized the risks of financial derivatives trading regulatory issues, to discuss the problem of regulatory norms exist from two levels of domestic and international law. Finally, comprehensive outlook supervision of financial derivative transactions perfect direction - unified regulatory body, the centralization of regulatory powers; diverse regulatory targets, expansion of the scope of regulation; systematic regulatory approach, composite regulatory means; international regulatory system, regulatory The complete system, as the full text of the conclusions. Supervision of the main points of financial derivatives transactions, subject to the regulations, the scope of regulation, regulatory and regulatory norms five angles adequately dealt with to address the absence of financial derivatives trading regulatory body or authority overlap, subject to the regulations of the market access and transaction process supervision misconduct and standards are not uniform, narrow the scope of regulation and oversight, regulatory approach is not suitable or not available, regulatory norms, inadequate or lack of coercive power of legal practice and theoretical issues.

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