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美国《多德-弗兰克法案》域外管辖效力对衍生产品市场的影响
引用本文:罗晶,刘月.美国《多德-弗兰克法案》域外管辖效力对衍生产品市场的影响[J].中国货币市场,2013(3):45-49.
作者姓名:罗晶  刘月
作者单位:中国银行间市场交易商协会交易规范部
摘    要:2012年6月29日,美国商品期货交易委员会(CFTC)发布《关于〈多德-弗兰克法案〉中掉期相关规则域外效力影响的指引(草案)》,进一步明确了美国监管者对与美国实体进行衍生产品交易的外国机构的管辖权,体现了美国干预他国金融机构治理和金融监管体系的政策走向。《指引》的出台引起大部分非美国的金融机构和监管机构的反对和质疑。文章围绕《指引》的内容,分析其出台背景、原因,及其对其他国家市场造成的潜在影响,并对我国发展衍生品市场提出相关对策建议。

关 键 词:掉期交易  美国实体  域外管辖

Impacts of the extraterritorial jurisdiction of the Dodd-Frank Act on derivatives market
Luo Jing,Liu Yue.Impacts of the extraterritorial jurisdiction of the Dodd-Frank Act on derivatives market[J].China Money,2013(3):45-49.
Authors:Luo Jing  Liu Yue
Institution:( Market Self-discipline Department, National Association of Financial Market Institutional Investors)
Abstract:The U.S. Commodity Futures Trading Commission (CFTC) issued the Proposed Interpretive Guidance on Cross-Border Application of the Swaps Provisions of the Dodd-Frank Act on June 29, 2012 to further specify the jurisdiction of the US regulators on the foreign institutions trading derivatives products with US entities, which reflects the policy direction of the United States to interfere the financial institution governance and financial regulation system of other countries. The release of the Guidance has aroused objection and challenge from most of the non-US financial institutions and regulatory authorities. This article analyzes the background and reasons for the issuance of the Guidance and its potential influence on the markets of other countries on the basis of the content of the Guidance, and puts forward relevant suggestions on countermeasures that could be adopted by China to develop its derivatives market.
Keywords:swap trading  US entities  extraterritorial jurisdiction
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