金融糾紛仲裁的若干問題  

A Number of Questions on Financial Dispute Arbitration

作　　者：朱偉一 

机构地区：[1]中國政法大學

出　　处：《中国法律（中英文版）》2012年第3期27-33,84-89,共13页China Law

摘　　要：随着资本市场全球化的不断深入和资产证券化的出现，银行贷款与证券产品连为一体，犬牙交错，难解难分，证券纠纷或与证券有关的纠纷也因此而日益增多。可以说，金融行业的许多仲裁就是证券纠纷仲裁或涉及证券的金融纠纷仲裁。根据美国证券法和美国最高法院的判例，证券的定义很广，包括「任何票据、股票、金融票据、证据、公司债券、债务凭据、任何利润分享协议的权益或参与证书、有抵押信托证书、可转让股份、投资合同、投票信托证书、证券存托证书、石油、天然气不可分割的部分权益或其他矿产权或者通常被视为『证券』的任何权益或凭证或上述任何一顼的任何权益或参与证书、临时证书、收据、担保或保证或认购或购买证书或权利」。With the increasing globalization of capital market and emergence of securitization of asset, banking loans and security products are becoming entangled with each other, leading to increasing number of security disputes or disputes related to securities. Many financial arbitrations are concerned with security disputes or financial disputes related to securities. According to the U,S. Securities Act and decisions made by the Federal Supreme Court, securities could be defined in a broad way to include any notes, stocks, financial bills, certificates, corporate bonds, debentures, .certificates of interest or participation in profit-sharing agreements, collateral-trust certificate, transferable shares, investment contract, voting-trust certificates, certificates of deposits for a security, and a fractional undivided interest in gas, oil, or other mineral rights, temporary certificates, receipts, certificates or rights of warranty, pledge or subscriptions. A decision made by the U.S. Supreme Court also added financial derivatives （namely financial futures in China） to the list of securities. Article two of the Security Law of China provides for that the law applies to the issuing and trading of stocks, corporate bonds and other securities accredited by the State Council according to law within the territory of China.＂

关 键 词：金融纠纷 仲裁 资产证券化 美国最高法院 资本市场全球化 证券纠纷 金融票据 银行贷款 

分 类 号：D925.7[政治法律—诉讼法学]