国际化视域下跨境期货交易法制体系建构研究  

Research on the Construction of Legal System of Cross-border Futures Transaction from the Perspective of Internationalization

作　　者：石光乾[1] 寇娅雯[1] SHI Guang-qian;KOU Ya-wen(Lanzhou University of Arts and Science, Lanzhou, Gansu 730000, China)

机构地区：[1]兰州文理学院,甘肃兰州730000

出　　处：《时代法学》2021年第5期111-116,F0003,共7页Presentday Law Science

基　　金：国家社科基金重大项目“构建开放型经济新体制的重点及基本框架研究”(15ZDA056);教育部人文社会科学研究规划基金项目“‘一带一路’建设中人民币跨境流通法律问题研究”(18YJA820031)的阶段性成果。

摘　　要：我国期货市场已成为世界资本市场的重要组成部分。在国际化背景下推进期货市场“走出去”战略,亟需解决跨境期货交易法制体系建构问题。通过省思跨境交易主要问题以及立法调适,创新跨境交易立法理念,确立“走出去”跨境交易立法协同机制,并从跨境交易主体适当性、业务规范、风险防控、协同监管、纠纷解决等方面明确监管目标,完善期货市场开放型治理体系格局及其法律保障体系,逐步扩大衍生品跨境投资主体范围。为提升跨境期货衍生品交易经纪能力,须扩展跨境交易衍生品种限制,以实现跨境交易整体金融安全与投资保障目标。China's futures market has become an important part of the world's capital market.In order to promote the“going-out”strategy of the futures market under the background of internationalization,it is urgent to solve the construction of the legal system of cross-border futures transaction.By reflecting on the main problems of cross-border transaction and legislative adjustment,we should innovate the legislative concept of cross-border transaction,establish the Legislative Coordination Mechanism of“going-out”cross-border transaction,and clarify the regulatory objectives from the aspects of the appropriateness of cross-border trading subjects,business norms,risk prevention and control,collaborative supervision,dispute resolution,etc.,so as to improve the open governance system of futures market and its legal guarantee system,and gradually expand the market.In order to achieve the overall financial security and investment protection objectives of cross-border transactions,we should expand the scope of cross-border investment subjects,enhance the brokerage capacity of cross-border futures derivatives transactions,and expand the restrictions on cross-border derivatives.

关 键 词：“走出去”战略 跨境期货交易 法制体系 建构理路 

分 类 号：F832.51[经济管理—金融学]