关于交易所罚款权的相关法律问题分析  

Analysis of Relevant Legal Issues About the Right to Fine in Exchange

作　　者：颜文俊 

机构地区：[1]上海期货交易所,上海200122

出　　处：《福建警察学院学报》2015年第2期84-88,共5页Journal of Fujian Police College

摘　　要：罚款是交易所对违规的市场参与者的常用处罚措施,具有较强的威慑及惩戒作用。目前市场各方对于交易所罚款权的法律性质、权力来源、使用范围、执行等情况尚存不同的认识,我国各交易所有关处理违规行为的业务细则对于罚款也有不同规定,需比较境内外期货市场相关法规、交易所规则予以明确之。Making a fine , with a strong sense of deterrence , is a very common sanction to punish those partici-pants into market who breach the rules .At present , the right to fine in exchange hasn＇t been reached a consensus in the following aspects：the legal nature , the power source , the applicable range and the enforcement .Since every exchange in China has made different rules to regulate fine to those illegal behaviors , we should compare relevant rules and regulations in futures markets at home and abroad in order to have our own .

关 键 词：交易所 自律处罚 罚款 

分 类 号：D922.11[政治法律—宪法学与行政法学]