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Legal Regulation of China’s Financial Derivatives Research

Author: ShaZuo
Tutor: XuWeiMin
School: Shandong University
Course: Economic Law
Keywords: financial derivatives monitoring mode monitoring system
CLC: D922.28
Type: Master's thesis
Year: 2008
Downloads: 444
Quote: 7
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Abstract

Financial derivatives is a new type of financial instrument from the traditional financial instruments. From a legal sense, Financial derivatives is a financial agreement to make arrangements a specific period for the future of the rights and obligations of assets. It plays a strong role in avoiding market risk and reducing financing costs. Almost every global financial turmoil has a significant association with the financial derivative transactions, so financial derivatives has potentially huge risk. The regulation of financial derivatives is increasingly becoming an important research topic. In this view, This paper focuses on successful foreign legislation and practical experience. Basing on the market environment at home and abroad and the differences in the legal system, the author wants to make recommendations to the construction of China’s financial derivatives legal supervision.This paper comprises seven chapters:Chapter 1 describes the concept of financial derivatives, nature, classification and interpretation of the function, and thinks that financial derivatives is a financial agreement to make arrangements a specific period for the future of the rights and obligations of assets;Then, analysis its legal nature and makes a classification of financial derivatives from a legal sense; Last, introduces the function of financial derivatives, Including hedging Price discovery and speculative profit.Chapter 2 describes the necessity of financial derivatives of legal regulation, and the double-side of the financial derivatives; then analysis the general and special risks of financial derivatives; last, proposes the need for legal regulation.Chapter 3 describes the regulation of financial derivatives legal principle. Prevention-oriented principles, systemic principles, self-discipline and the market-oriented principle, the principle of regulatory efficiency.Chapter 4 describes the financial derivatives legal regulation and supervision subject. Analysis of key regulatory approach, including external supervision, self-regulation, corporate internal risk control three models. At the same time, also introduced the main mode of the Government regulation, including the functions of supervision and regulation of institutions.Chapter 5 describes the main control system of the financial derivatives. Specific regulatory system includes market access, capital adequacy ratios, information disclosure, internal risk control and the market withdrawal mechanism; Also referred to the international cooperation, international treaties involving the use of the camera and intergovernmental coordination of monitoring, ISDA is the main international treaty agreements.Chapter 6 describes on the country’s financial derivatives legal and regulatory status quo existing problems. China’s financial derivatives from the regulatory system cannot meet our financial derivatives development. Separate supervision, regulations, backward, the disclosure of information not standardized, imperfect internal control mechanisms are urgently needed to solve the problems.Chapter 7 is improving China’s financial derivatives legal regulatory system thinking. Including, Improve financial supervision regulations, the establishment of a unified regulatory approach, and improve specific regulatory measures and regulate derivative transactions participants behavior, and strengthening international cooperation

Legal Regulation of China’s Financial Derivatives Research

Abstract

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