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
오류제보하기
The purpose of this paper is to understand general investor as the party applicable to financial consumer over-the-counter (OTC) derivatives to recognize the justification for protection and develop the system by finding the legal principle for protection in a way of drafting the effective protection plan. Most of its content is the clearing of existing legal principles but new attempt is made to quote or apply the legal principle on consumer protection on the manufactured products.
For legal principles to be applied to the OTC derivatives, the principles of contract law would be more likely to apply rather than those of securities laws since the OTC derivatives have formed with the structure of entering into contract on the one-on-one basis, not being used as in the way of securities. The approach is made to protect the consumers of OTC derivatives with the legal principles of civil law in invalidity, error, fraud, termination and the like. In light of the complexity of the OTC derivative structure, financial consumers easily enter into the contract under error, fraud or others with the failure to carry out the obligation of notification and there could be an issue of terminating the contract following the continuance of the contract.
In the event that violations of due diligence obligation, fiduciary duty, protection of customer's interest, obligation to describe, or suitability rule as well as illegal trans-actions would constitute as torts to hold financial consumers as liable for damage compensation, the approach is made to the conversion method of product liability or burden of proof. Lastly, the contract used in the OTC transaction while approaching by applying the consumer protection principle would be considered as an article to apply the guaranteed right of consumers under the article regulation laws to financial consumers as reasonable. The class action system also would need to be introduced for the OTC derivatives as well as the need to introduce the right to cool off or voluntary cancellation right as well as the recall system, and even if the product liability cannot be applied to consumers of OTC derivatives directly, the principle may be used to review with respect to reflecting the same on the legislation.
For legal principles to be applied to the OTC derivatives, the principles of contract law would be more likely to apply rather than those of securities laws since the OTC derivatives have formed with the structure of entering into contract on the one-on-one basis, not being used as in the way of securities. The approach is made to protect the consumers of OTC derivatives with the legal principles of civil law in invalidity, error, fraud, termination and the like. In light of the complexity of the OTC derivative structure, financial consumers easily enter into the contract under error, fraud or others with the failure to carry out the obligation of notification and there could be an issue of terminating the contract following the continuance of the contract.
In the event that violations of due diligence obligation, fiduciary duty, protection of customer's interest, obligation to describe, or suitability rule as well as illegal trans-actions would constitute as torts to hold financial consumers as liable for damage compensation, the approach is made to the conversion method of product liability or burden of proof. Lastly, the contract used in the OTC transaction while approaching by applying the consumer protection principle would be considered as an article to apply the guaranteed right of consumers under the article regulation laws to financial consumers as reasonable. The class action system also would need to be introduced for the OTC derivatives as well as the need to introduce the right to cool off or voluntary cancellation right as well as the recall system, and even if the product liability cannot be applied to consumers of OTC derivatives directly, the principle may be used to review with respect to reflecting the same on the legislation.
#장외파생상품
#장외파생상품규제
#파생상품법
#금융소비자보호
#파생상품
#스왑
#선물
#선도
#옵션
#키코
#철회권
#계약해제
#자본시장법
#소비자법
#OTC Derivatives
#derivatives law
#regulation of over-the-counter de-rivatives
#consumer protection
#swap
#option
#future
#forward
#KIKO
#cool-ing off
#contract law
#The Korean Capital Market and Financial Investment Service Act of 2009
목차
Ⅰ. 序言
Ⅱ. 장외파생상품거래에 대한 규제의 필요성
Ⅲ. 장외파생상품거래에 있어서 금융소비자 보호의 체계
Ⅳ. 결론
參考文獻
〈Abstract〉
참고문헌 (38)
참고문헌 신청
1. [학술지(정기간행물)] - 권종호 / 2006 / 일본금융상품거래법의 개요- 일본금융상품거래법의 해설(1) / 증권선물 (19)
2. [보고서] - 김건식 / 1997 / 스왑거래에 관한 법적 연구
3. [단행본] - 김건식 / 2009 / 자본시장법 / 두성사
4. [학술지(정기간행물)] - 김병연 / 2010 / 금융소비자 보호를 위한 금융회사의 경영체제 개선 방향 / 주간금융브리프 19 (27)
5. [학술지(정기간행물)] - 김병연 / 2010 / 금융소비자 보호를 위한 적합성 원칙의 도입과 과제 / 주간금융브리프 19 (28)
2. [보고서] - 김건식 / 1997 / 스왑거래에 관한 법적 연구
3. [단행본] - 김건식 / 2009 / 자본시장법 / 두성사
4. [학술지(정기간행물)] - 김병연 / 2010 / 금융소비자 보호를 위한 금융회사의 경영체제 개선 방향 / 주간금융브리프 19 (27)
5. [학술지(정기간행물)] - 김병연 / 2010 / 금융소비자 보호를 위한 적합성 원칙의 도입과 과제 / 주간금융브리프 19 (28)
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UCI(KEPA) : I410-ECN-0101-2012-366-003692402