지원사업
학술연구/단체지원/교육 등 연구자 활동을 지속하도록 DBpia가 지원하고 있어요.
커뮤니티
연구자들이 자신의 연구와 전문성을 널리 알리고, 새로운 협력의 기회를 만들 수 있는 네트워킹 공간이에요.
초록· 키워드
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Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act establishes a regulatory structure for derivatives. It requires derivative contracts that can be cleared, to be cleared?and exchange-traded. The title provides a narrow exemption for derivatives end users from the clearing and exchange trading requirements, but does not exempt end users from margin requirements. The title requires regulators to set minimum capital requirements and minimum initial and variation margin requirements.
The title establishes a framework for the regulation of trading of SB Swaps through SB SEFs. This framework includes registration requirements as well as 14 core principles with which SB SEFs must comply and which the SEC must implement through its rule-making, including monitoring of trade processing, timely publication of trading information, and the avoidance of conflicts of interest, as more fully discussed below.
There are a number of rule-makings required under Title VII. The CFTC and SEC are required to act jointly to define key terms relating to jurisdiction(such as swap, security-based swap, and security-based swap agreement) and market intermediaries(such as swap and security-based swap dealers and major swap and security-based swap participants), as well as adopt joint regulations regarding mixed swaps and prescribe trade repository record-keeping requirements, and books and records requirements for swap entities related to security-based swap agreements.
The title establishes a framework for the regulation of trading of SB Swaps through SB SEFs. This framework includes registration requirements as well as 14 core principles with which SB SEFs must comply and which the SEC must implement through its rule-making, including monitoring of trade processing, timely publication of trading information, and the avoidance of conflicts of interest, as more fully discussed below.
There are a number of rule-makings required under Title VII. The CFTC and SEC are required to act jointly to define key terms relating to jurisdiction(such as swap, security-based swap, and security-based swap agreement) and market intermediaries(such as swap and security-based swap dealers and major swap and security-based swap participants), as well as adopt joint regulations regarding mixed swaps and prescribe trade repository record-keeping requirements, and books and records requirements for swap entities related to security-based swap agreements.
목차
Ⅰ. 서론
Ⅱ. 장외파생상품 규제 및 사전심의제의 현황
Ⅲ. 미국 금융개혁법상 장외파생상품 규제동향
Ⅳ. 장외파생상품 청산 및 보고제도의 국내 도입방향
參考文獻
Abstract
참고문헌 (13)
참고문헌 신청
1. [단행본] - 장근영 / 2009 / 자본시장법 주석서 / 박영사
2. [학술지(정기간행물)] - 원동욱 / 2010 / 2010년 미국 금융개혁법의 주요내용 및 그 시사점 / 상사법연구 29 (2) : 393 ~ 424
3. [보고서] - 김병연 / 2011 / 장외파생상품 청산보고 및 파생상품 심사제도의 발전방안
4. [학술지(정기간행물)] - 김홍기 / 2008 / 자본시장통합법상 파생상품 규제의 내용과 개선과제 / 증권법연구 9 (1) : 83 ~ 120
5. [학술지(정기간행물)] - 김홍기 / 2010 / 장외파생상품 사전심의제도의 주요 내용 및 운용방안에 대한 검토 / BFL (42)
2. [학술지(정기간행물)] - 원동욱 / 2010 / 2010년 미국 금융개혁법의 주요내용 및 그 시사점 / 상사법연구 29 (2) : 393 ~ 424
3. [보고서] - 김병연 / 2011 / 장외파생상품 청산보고 및 파생상품 심사제도의 발전방안
4. [학술지(정기간행물)] - 김홍기 / 2008 / 자본시장통합법상 파생상품 규제의 내용과 개선과제 / 증권법연구 9 (1) : 83 ~ 120
5. [학술지(정기간행물)] - 김홍기 / 2010 / 장외파생상품 사전심의제도의 주요 내용 및 운용방안에 대한 검토 / BFL (42)
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UCI(KEPA) : I410-ECN-0101-2013-366-001237994