债券市场"通道业务"管理人的法律风险与责任承担OA
Managers's Legal Risks and Liability of"Channel Business"in Bond Market
近年来,考虑到机构间优势互补、满足特定债券市场准入要求以及开展债券回购交易等,债券市场通道类资产管理业务发展态势迅猛.随着《资管新规》等金融监管政策的不断完善以及司法"穿透式审判"力度的加强,通道业务"让渡职责""规避监管"的特征使得管理人面临承担民事责任、行政责任以及刑事责任的法律风险增大.法律关系的确定往往决定上述管理人责任承担的判定,而目前仅以"委托关系"或"信托关系"概括通道业务法律关系的做法均有失偏颇.结合交易实践与司法实践,将管理人的…查看全部>>
For a long time,due to commercial considerations such as inter-agency complementary advantages,easier access to specific bond market,and the identity of repurchase transactions,the development of"Channel Business"in asset man-agement has been rapid.With the"New Asset Management Regulations"intro-duced and the judicial"penetrating trial"strengthen,the characteristics of channel business such as"transferring duties"and"avoiding supervision"have increased the l…查看全部>>
李敏;郑洁
中央财经大学法学院,北京 100098中央财经大学法学院,北京 100098
政治法律
债券市场通道业务信义义务管理人责任
Bond MarketChannel BusinessFiduciary DutyManagerial Responsi-bility
《当代金融研究》 2024 (7)
70-81,12
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