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期:2022年6月5日
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摘要
摘要
新时代背景下，我国经济正处于高质量发展阶段，为引导金融业更好的服务于实
体经济，国家鼓励通过金融创新提升市场运行效率，金融创新为市场注入新动能的同
时也带来了新风险，因而对市场监管水平也提出了更高要求。我国期货市场作为金融
市场重要组成，在此背景下市场品种持续上新，交易工具不断丰富、业务模式与交易
方式也变得复杂多样。由此引发了监管资源与风险不匹配及监管技术不足等问题，而
依靠传统监管体制改革很难改变这种现状，因此“以科技改善监管，以科技应对风险”，
成为提升监管水平的重要手段。区块链技术作为监管科技的代表技术，将其应用到监
管领域，符合如今对监管领域的研究及改革趋势。目前对于区块链技术在金融领域中
的探索较多，但在金融监管领域研究较少，因此本文研究探讨将区块链技术应用于期
货市场监管中，试图在提升期货市场监管水平的同时，也为区块链技术在进入微观管
理领域的应用提供研究尝试。
本文首先从我国期货市场监管现状出发，通过对期货市场监管架构、监管体系以
及监管具体流程的深入分析，发现目前监管中存在信息共享难、自律性监管受限、监
管滞后以及存在监管盲点等缺陷。其次，鉴于区块链的技术优势与期货市场监管缺陷
间具备契合性，设计了基于区块链技术的期货市场监管体系。并利用模糊层次分析法
（FAHP）构建评价模型，对应用区块链技术前后的期货市场监管体系分别进行评价，
通过对比分析评价结果，得到应用区块链技术会提升期货市场监管水平，尤其在提升
监管效率与安全性方面作用显著的结论。最后，针对目前区块链技术在期货监管领域
应用所遇到的困难，提出解决对策，旨在尽快推动区块链技术在监管领域的应用落地，
以提升期货市场监管水平，最终打造一个公开透明，安全稳定的期货市场。
关键词：区块链技术期货市场监管体系信息共享
I

Abstract
Abstract
Under the background of the new era, China's economy is in the stage of
high-quality development. In order to guide the financial industry to better serve the real
economy, the state encourages financial innovation to improve the efficiency of market
operation. Financial innovation not only injects new momentum into the market, but also
brings new risks, thus raising higher requirements on the level of market supervision.
China's futures market in the financial markets as an important component of new varieties
under the background of the market continuously, constantly enrich trading tools, business
mode and way to trade has become complex and diverse, which caused the risk regulatory
resources and does not match, and the problem of insufficient regulation technology and
relying on traditional regulatory system reform is very difficult to change that. Therefore,
"science and technology to improve supervision, science and technology to deal with risks"
has become an important means to improve the level of supervision. As a representative
technology of regulatory technology, the application of blockchain technology to the
regulatory field is in line with the current trend of research and reform in the regulatory
field. For chain block technique in the field of financial to explore more, but less research
in the field of financial regulation, so this article research the block chain technology
applied in the futures market regulation, trying to enhance the level of the futures market
regulation at the same time, also for block chain technology in research to try to enter into
the field of micro management and application.
This paper starts from the current situation of China's futures market supervision,
through in-depth analysis of the futures market supervision framework, supervision system
and specific supervision process, found that the current supervision in the difficult
information sharing, self-discipline supervision limited, supervision lag and supervision
blind spots. Secondly, in view of the compatibility between the technical advantages of
blockchain and the regulatory defects of futures market, a futures market regulatory system
based on blockchain technology is designed. And by using fuzzy analytic hierarchy process
（FAHP）to build evaluation model, the application block chain technology before and
after the futures market regulatory system to evaluate respectively, through the contrast
analysis of the evaluation results, get the application block chain technology will enhance
the level of the futures market supervision and especially in enhance supervision efficiency
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