《中介机构所持证券若干权利法律适用公约》介评  

Introduction and Comments on the Convention on the Law Applicable to Certain Rights in Respect of Securities Held With an Intermediary

作　　者：鲁世平[1,2] 李卉[3] 

机构地区：[1]长安大学法学系,西安710064 [2]西北大学经济管理学院,西安710127 [3]大连大学法学院,辽宁大连116622

出　　处：《西北农林科技大学学报（社会科学版）》2014年第1期156-160,共5页Journal of Northwest A&F University(Social Science Edition)

基　　金：教育部人文社会科学研究项目(09XJC820021);长安大学人文社会科学基金资助项目(08Q26)

摘　　要：海牙国际私法会议《中介机构所持证券若干权利法律适用公约》开创了针对无体物冲突法进行国际立法的先河,其规定的证券物权冲突适用"相关中介机构所在地法",是传统"物之所在地法"的更新;其调整对象是证券交易中的物权,包括证券完全转让时的所有权和以证券作为担保物时的担保物权。该公约顺应并有力促进证券的跨国交易,推动间接持有体制下证券物权冲突法立法的统一化进程,并对各国立法具有导向作用;但公约也产生了一些消极的影响。The law of the place of the relevant intermediary to be applicable to property right of securities, stip- ulated in the Convention on the Law Applicable to Certain Rights in Respect of Securities Held with an Intermedi- ary,is an updated form of the traditional lex rei sitae, which is the first international legislation specially governing the property right of intangible assets. Its regulated object is real rights in securities transaction, including owner- ship and security interest. The convention fits for and promotes securities transaction across borders, pushes for- ward the unification process of conflict legislation of securities＇ real rights and sets an example to national legisla- tion,but it has some negative impacts.

关 键 词：证券 间接持有体制 相关中介机构所在地法 积极影响 消极影响 

分 类 号：F832.4[经济管理—金融学] D922.287[政治法律—经济法学]