论场外金融衍生产品交易民事救济之合同责任——以英美法为视角  

Contractual Liability of Over-the-counter Derivatives Trade:Under UK and US Law

作　　者：石少侠[1] 罗曦[2] 

机构地区：[1]国家检察官学院,北京102206 [2]最高人民检察院公诉厅,北京100726

出　　处：《现代法学》2013年第4期163-172,共10页Modern Law Science

摘　　要：场外金融衍生产品是金融创新的重要成果,在套期保值、促进资本流通、控制融资成本等方面起到了不可替代的重要作用。但是由于其高风险、高利润的特性,交易纠纷一直不断,当事人通过诉讼寻求司法救济已成为解决交易纠纷的重要途径。本文以金融市场发展和相关立法均较为发达和完善的英美国家为研究重点,从合同责任的角度探讨场外金融衍生产品交易纠纷的解决途径,结合典型案例总结出了主张合同无效和追究违约责任两类主要救济方式。Over-the-counter（OTC） derivatives,the important results of financial innovation,play an irreplaceable important role in hedging,promoting capital flows and controling financing costs.But due to the characteristics of high-risk and high-profit,there are always many trade disputes between parties,and it has become an important way to resolve trade disputes,through litigation to seek judicial relief.This paper,focusing on the United Kingdom and the United States experiences,aims to explore the way to resolve disputes of OTC derivatives transactions from the perspective of contractual liability,and summarizes two major types of remedies： contract nullification and breach of contract liability.

关 键 词：场外金融衍生产品 合同责任 合同无效 违约责任 

分 类 号：D923.6[政治法律—民商法学]