期货业洗钱风险点及治理对策研究

Future industry money laundering risk point and governance countermeasure research

2005年以来,期货业在中国取得了高速、加速增长,为中国的客户提供了又一减少风险的工具,大大活跃了金融市场。但是我国期货业起步晚、发展粗放也是不可否认的事实,很多配套监管制度没有及时跟上行业的发展,这给洗钱犯罪分子提供了可乘之机。目前,犯罪分子通过期货交易进行洗钱的手法多种多样,一方面,期货业的交易特点存在一些风险点;另一方面,在国内外期货业的发展中洗钱案件也由来已久。本文分析了目前我国期货市场存在的洗钱风险点,以此指出我国期货市场反洗钱工作存在的盲点以及反洗钱工作的方向。在分析国内外期货市场典型洗钱案件的基础上,本文试图通过对期货交易中潜在的洗钱风险、洗钱手法及其行为特征进行理性分析,提出应对以上风险点的治理对策。

Since 2005,futures market has fueled a rapid growth,which from one side provides an alternative tool for the Chinese investors to reduce the risk and simultaneously stimulates the financial market to a larger extent.Nevertheless,it can never be denied that the Chinese futures market is still in its infancy and severely in lack of corresponding supervisory measures,which gives lawbreakers a handle to commit crimes of money laundering.At present,the criminals can always diversify their operations through futures trading in that there exist some risk points in the futures market itself,and in addition,money laundering seems to enjoy a long history when looking back on the process of futures market development at home and abroad.This study attempted to figure out the risk points in the present Chinese futures market in the hope of fully realizing the limitations in anti-money-laundering for the moment,which in return,sheds light on the future point of emphasis in this work.Based on a thorough analysis of the potential possibility of money laundering as well as its behavior characteristics in futures trading,this paper has put forward some countermeasures to deal with it.