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題名:衍生性金融商品之內線交易禁止法律規制:以規範客體範圍與民事賠償責任為核心
書刊名:國立臺灣大學法學論叢
作者:朱德芳 引用關係陳肇鴻 引用關係
作者(外文):Chu, Te-fangChen, Christopher Chao-hung
出版日期:2014
卷期:43:2
頁次:頁419-487
主題關鍵詞:衍生性金融商品內線交易結構債股權交換以他人名義持有受益所有人店頭市場Derivative productInsider tradingStructured noteBeneficial holdershipEquity swapBeneficial ownerOver-the-counter market
原始連結:連回原系統網址new window
相關次數:
  • 被引用次數被引用次數:期刊(1) 博士論文(0) 專書(0) 專書論文(0)
  • 排除自我引用排除自我引用:1
  • 共同引用共同引用:213
  • 點閱點閱:130
本文從各國實際發生的案例說明衍生性金融商品的不斷創新,對於各國資本市場法制產生極大的衝擊。由於衍生性金融商品的隱匿性與高槓桿等特性,使其可能成為內線交易的工具。為維護證券交易市場之健全運作,各國在立法趨勢上皆將衍生性金融商品納入內線交易禁止之規範客體。本文從比較法分析,建議應將衍生自有價證券之金融商品納入我國內線交易禁止的規範客體,並且從衍生性金融商品的定義、證券交易法與期貨交易法的管轄範圍、涉及衍生性金融商品之內線交易的民事賠償責任等方向,提出修法建議。期在明確法律規範的情況下,促使市場參與者知法且遵法,進行各種交易,以發揮衍生性金融商品交易之避險、投機與發現價格等諸多功能。
This article will consider cases occurring in Taiwan and other countries to explore legal impact of financial derivatives on capital market regulations, focusing on insider trading. Due to the nature of derivatives, they have been used as a vehicle to conduct insider trading. Therefore, there is a global trend to prohibit insider dealing by trading derivatives. This article will then recommend that Taiwan law should include derivatives trading as part of the prohibition against insider trading. In addition, Taiwan law should also refine the definition of financial derivatives, the jurisdiction of securities regulation and futures regulation, and civil liability attached to insider trading by derivatives in order to raise legal certainty for market participants and to ensure the derivatives market will function well for hedging, speculation or price discovery purposes.
期刊論文
1.郭土木(2000)。期貨交易詐欺及内線交易行為之探討(下)。證券暨期貨管理雜誌,18(3),1-14。  延伸查詢new window
2.陶宏德(2004)。衍生性金融商品交易量日增,台股波濤洶湧的幕後推手。今周刊,386,114-115。  延伸查詢new window
3.沈大白、凌志銘(20060600)。信用違約交換評價之實證研究--TCRI信用評等資訊之應用。金融風險管理季刊,2(2),47-74。  延伸查詢new window
4.Chen, C.(2011)。Product due diligence and the suitability of minibond: Taking the benefit of hindsight。Singapore Journal of Legal Studies,309-329。  new window
5.Frankel, T.(1981)。Implied rights of action。Virginia Law Review,67,553-585。  new window
6.Leung, R.(2013)。Insider trading: a critical assessment of private right of action。Company Lawyer,34(2),56-57。  new window
7.Rubin, Gary(2008)。CFTC Regulation 1.59 Fails to Adequately Regulate Insider Trading。New York La School La Review,53,599-624。  new window
8.廖大穎(20090300)。資訊不正流用理論與證券交易法第157條之1。月旦財經法雜誌,16,77-114。  延伸查詢new window
9.陳肇鴻(20090200)。論權益交換與大股東持股揭露之法律問題。法學新論,7,105-130。new window  延伸查詢new window
10.陳肇鴻(20100900)。由經濟觀點論金融市場上以衍生性商品進行市場投機之管制。國立臺灣大學法學論叢,39(3),167-222。new window  延伸查詢new window
11.Markham, J. W.(1988)。"Front-running" - Insider Trading under the Commodity Exchange Act。Catholic University Law Review,38,69-128。  new window
12.Hu, H. T. C.、Black, Bernard(2006)。The new vote buying: Empty voting and hidden (morphable) ownership。Southern California Law Review,79,811-908。  new window
學位論文
1.陳照世(2008)。從歐盟與英國市場濫用防制計畫反思我國對內線交易與操縱市場之制度設計(碩士論文)。臺灣大學。  延伸查詢new window
圖書
1.許誠洲(2010)。衍生性金融商品理論與實務。台北:財團法人台灣金融研訓院。  延伸查詢new window
2.Len-Yu Liu(2012)。Modern securities la cases and explanations [10th ed。Taipei:Angle。  new window
3.謝劍平、林傑宸(2005)。證券市場與交易實務。台北:智勝。new window  延伸查詢new window
4.Das, S.(2006)。Derivative products & pricing。Singapore:John Wiley & sons。  new window
5.Hamilton, J.(2005)。Guide to section 16: insider reporting and short-swing trading liability。Chicago, IL:CCH。  new window
6.Henderson, S. K.(2002)。Henderson on derivatives。London, England:LexisNexis Butterworths。  new window
7.Hudson, A.(2006)。The law on financial derivatives。London, England:Sweet & Maxwell。  new window
8.Langevoort, D. C.(2014)。18 insider trading: regulation, enforcement and prevention。New York, NY:Thomson Reuters。  new window
9.Lynn, D. M.(2011)。Global capital markets & the U.S. Securities laws 2011: strategies for the changing regulatory environment。New York, NY:Practising Law Institute。  new window
10.Markham, J. W.(2014)。Commodities Regulation: Fraud, Manipulation & Other Claims.New。York, NY:Thomson Reuters。  new window
11.Scalcione, R.(2011)。The Derivatives Revolution: A Trapped Innovation and a Blueprint for Regulatory Reform。London, England:Kluwer Law International。  new window
12.Swan, E. J.(2010)。Market abuse regulation。Oxford, England:Oxford University Press。  new window
13.劉連煜(201209)。新證券交易法實例研習。臺北:元照出版有限公司。new window  延伸查詢new window
14.曾宛如(2011)。公司法制基礎理論之再建構。台北:承法。new window  延伸查詢new window
15.謝劍平(2004)。當代金融市場。臺北市:智勝文化。  延伸查詢new window
16.賴英照(1996)。證券交易法逐條釋義。賴英照。  延伸查詢new window
17.賴英照(20091000)。股市遊戲規則--最新證券交易法解析。台北:元照出版社。  延伸查詢new window
18.Hull, John C.(2009)。Options, Futures, and Other Derivatives。New York:Pearson Education。  new window
19.黃昱程(2009)。現代金融市場。台北:華泰。  延伸查詢new window
 
 
 
 
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