목차
Ⅰ. 서 론:선물업 규제
1. 상품선물현대화법과 다중(multi-layered)규제의 대두
2. 증권선물상품(Security Futures Products)
Ⅱ. 국내 선물산업의 규제 및 감독체계
1. 선물거래법
2. 규제 감독 체계
(1) 공적 규제기관
(2) 자율규제기관
Ⅲ. 외국의 선물시장 규제제도 및 운영현황
1. 독일의 규제 및 감독 체계
(1) 독일의 선물시장
(2) 독일의 공적 규제
(3) 독일의 자율 규제
2. 영국의 규제 및 감독 체계
3. 홍콩의 규제 및 감독 체계
(1) 홍콩의 선물시장
(2) 공적 규제:증권급기화사무감찰위원회(SFC)
4. 일본의 규제 및 감독 체계
Ⅳ. 결론:선물업 발전을 위한 과제
참고 문헌
1. 상품선물현대화법과 다중(multi-layered)규제의 대두
2. 증권선물상품(Security Futures Products)
Ⅱ. 국내 선물산업의 규제 및 감독체계
1. 선물거래법
2. 규제 감독 체계
(1) 공적 규제기관
(2) 자율규제기관
Ⅲ. 외국의 선물시장 규제제도 및 운영현황
1. 독일의 규제 및 감독 체계
(1) 독일의 선물시장
(2) 독일의 공적 규제
(3) 독일의 자율 규제
2. 영국의 규제 및 감독 체계
3. 홍콩의 규제 및 감독 체계
(1) 홍콩의 선물시장
(2) 공적 규제:증권급기화사무감찰위원회(SFC)
4. 일본의 규제 및 감독 체계
Ⅳ. 결론:선물업 발전을 위한 과제
참고 문헌
본문내용
규제체계는 미국과 동일한 형태를 유지하고 있으나, 실질적인 규제업무 수행정도는 선물업계의 의견을 대변하는 수준에 그치고 있다. 선물업계의 공정거래 질서 및 공정경쟁의 여건을 마련하기 위해서는 업계의 실정을 정확하게 파악하고 있는 민간 전문기관을 통한 자율규제 기능을 강화할 필요성이 매우 높다. 특히 시장참여자들과의 직접적인 접촉을 통해 선물시장의 장기적이고 전문적인 발전을 위한 실질적이고 현실적인 규제 업무를 수행하는 미국의 NFA와 같은 선물협회를 중심으로 한 업계의 자율규제가 절실하게 필요하다.
참고 문헌
Ascarelli, Silvia. "New Consolidation Wave Likely Will Hit European Exchanges," The Wall Street Journal, 25, (June 2001), C11.
Ascarelli, Silvia. "Euronext Exchange Has Winning Bid for Liffe," The Wall Street Journal, 30, (October 2001), C12.
Ascarelli, Silvia. "Having Won Bidding fro Liffe, Euronext Chief Faces His Skeptics," The Wall Street Journal, 31, (October 2001), A19.
Barker, Robert. "The Merc is Far From a Hot Commodity," BusinessWeek, 9, (December 2002), 136.
Benham, Barbara. "Regulatory 'Turf Battle' Has Long History," Investor's Daily, 16, (July 1990), 1.
CNN, "Hong Kong Exchange Looking Abroad," 26, (August 2002).
(http://edition.cnn.com/2002/business/asia/08/26/hk.exchange)
Collins, Daniel P. "Eurex US makes it official," Futures, (November 2003), Vol.32, No.14, 14-16.
Collins, Daniel P. "CFTC Delivers," Futures, (November 2003), Vol.32, No 14, 70-72.
Collins, Daniel P. and Zwick, Steve. "Solving the Common Clearing Puzzle," Futures, (November 2003), Vol.32, No.14, 80-84.
Eurex, An Introduction to Eurex US, September 2003.
McGee, Suzanne. "Germany Plans First Commodities Market," The Wall Street Journal, 23, (October 1995), C1.
McKay, Peter. "Futures Exchanges Facing a Showdown With Europe's Eurex," The Wall Street Journal, 17, (June 2003), C1.
Skertic, Mark. "CBOT, Merc strike bond," The Chicago Tribune, 14, (September 2003), Section 5, 1.
Skertic, Mark. "Clearing Corp. faces Eurex showdown," The Chicago Tribune, 26, (September 2003), Section 3, 3.
Tan, Kopin. "Derivatives Exchange Eurex Launches Push for U.S. Entry," The Wall Street Journal, 29, (April 2003), C11.
The Government of Hong Kong Special Administrative Region, A Policy Paper on Securities and Futures Market Reform, March 1999.
Lee, John, and Kwong, Lucia. "Revenue and Cost Trends of Global Stock Exchanges and HKEx," Research Paper #2, Supervision of Markets Division, Hong Kong Securities and Futures Commission, November 2002.
Marham, Jerry W. "A Comparative Analysis of Consolidated and Functional Regulation:Super Regulator and A Comparative Analysis of Securities and Derivatives Regulation in the United States, the United Kingdom, and Japan," The Brooklyn Journal of International Law, Vol.28, 319-410.
National Futures Association (NFA), Disclosure Documents:A Guide for CPOs and CTAs. (March 2003).
NFA, NFA Regulatory Requirements for FCMs, IBs, CPOs, and CTAs, (June 2003).
NFA. "Proposed Rule Changes by National Futures Association Concerning Risk Disclosure for Security Futures Contracts." File No.SR-NFA -2002-05.
NFA, Security Futures Products:a Regulatory Guide, (January 2003).
Weiss, Gary. "Competing Watchdogs are Good for the Street," BusinessWeek, 1, (September 2003), 86.
참고 문헌
Ascarelli, Silvia. "New Consolidation Wave Likely Will Hit European Exchanges," The Wall Street Journal, 25, (June 2001), C11.
Ascarelli, Silvia. "Euronext Exchange Has Winning Bid for Liffe," The Wall Street Journal, 30, (October 2001), C12.
Ascarelli, Silvia. "Having Won Bidding fro Liffe, Euronext Chief Faces His Skeptics," The Wall Street Journal, 31, (October 2001), A19.
Barker, Robert. "The Merc is Far From a Hot Commodity," BusinessWeek, 9, (December 2002), 136.
Benham, Barbara. "Regulatory 'Turf Battle' Has Long History," Investor's Daily, 16, (July 1990), 1.
CNN, "Hong Kong Exchange Looking Abroad," 26, (August 2002).
(http://edition.cnn.com/2002/business/asia/08/26/hk.exchange)
Collins, Daniel P. "Eurex US makes it official," Futures, (November 2003), Vol.32, No.14, 14-16.
Collins, Daniel P. "CFTC Delivers," Futures, (November 2003), Vol.32, No 14, 70-72.
Collins, Daniel P. and Zwick, Steve. "Solving the Common Clearing Puzzle," Futures, (November 2003), Vol.32, No.14, 80-84.
Eurex, An Introduction to Eurex US, September 2003.
McGee, Suzanne. "Germany Plans First Commodities Market," The Wall Street Journal, 23, (October 1995), C1.
McKay, Peter. "Futures Exchanges Facing a Showdown With Europe's Eurex," The Wall Street Journal, 17, (June 2003), C1.
Skertic, Mark. "CBOT, Merc strike bond," The Chicago Tribune, 14, (September 2003), Section 5, 1.
Skertic, Mark. "Clearing Corp. faces Eurex showdown," The Chicago Tribune, 26, (September 2003), Section 3, 3.
Tan, Kopin. "Derivatives Exchange Eurex Launches Push for U.S. Entry," The Wall Street Journal, 29, (April 2003), C11.
The Government of Hong Kong Special Administrative Region, A Policy Paper on Securities and Futures Market Reform, March 1999.
Lee, John, and Kwong, Lucia. "Revenue and Cost Trends of Global Stock Exchanges and HKEx," Research Paper #2, Supervision of Markets Division, Hong Kong Securities and Futures Commission, November 2002.
Marham, Jerry W. "A Comparative Analysis of Consolidated and Functional Regulation:Super Regulator and A Comparative Analysis of Securities and Derivatives Regulation in the United States, the United Kingdom, and Japan," The Brooklyn Journal of International Law, Vol.28, 319-410.
National Futures Association (NFA), Disclosure Documents:A Guide for CPOs and CTAs. (March 2003).
NFA, NFA Regulatory Requirements for FCMs, IBs, CPOs, and CTAs, (June 2003).
NFA. "Proposed Rule Changes by National Futures Association Concerning Risk Disclosure for Security Futures Contracts." File No.SR-NFA -2002-05.
NFA, Security Futures Products:a Regulatory Guide, (January 2003).
Weiss, Gary. "Competing Watchdogs are Good for the Street," BusinessWeek, 1, (September 2003), 86.
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