課程資訊
課程名稱
比較企業金融法制專題研究三
Seminar on Comparative Enterprise & Finacial Laws (Ⅲ) 
開課學期
106-2 
授課對象
法律學院  法律研究所  
授課教師
林仁光 
課號
LAW7042 
課程識別碼
A21 M8970 
班次
 
學分
2.0 
全/半年
半年 
必/選修
選修 
上課時間
星期二3,4(10:20~12:10) 
上課地點
 
備註
教室在法研2。大學部經授課老師同意,可修習本課程。
限碩士班以上 且 限法律學院學生(含輔系、雙修生)
總人數上限:24人 
Ceiba 課程網頁
http://ceiba.ntu.edu.tw/1062LAW7042_03 
課程簡介影片
 
核心能力關聯
核心能力與課程規劃關聯圖
課程大綱
為確保您我的權利,請尊重智慧財產權及不得非法影印
課程概述

本學期,本課程將以中文進行討論,閱讀資料包括中文及外文資料。同學上課必須會聽會說中文,但發表意見或報告時可以使用中文或英文。
Specific topics of enterprise and financial laws are selected for discussion. Cases and articles will be provided at the beginning and/or during the semester. The professor will introduce the theme and regulatory framework at the beginning of each topic. Afterwards, students will have opportunities to present the assigned reading and participate discussion. Our focus in the fall semester 2014 was on corporate insiders and responsible persons. In the spring semester of 2015, the focus was on the selected issues regarding executive compensation, disputes arising from director election, removal of directors, the appointment and removal of auditors and shareholder proposals, etc. In the fall of 2015, we studied corporate personhood, corporate theories. In the Spring of 2016, we discussed the global financial regulations. In the fall of 2016, we focus on relevant issues surrounding closely held business associations. In the spring of 2017, we focused on the evolution of financial regulatory regime and reform after the global financial crises and the development of fintech. We also focus on the syndicated loan market and related issues. In the fall semseter of 2017, we focus on corporate wrongdoing, legal compliance program, regulation of nonbank financial institutions and update of insider trading law. In Spring 2018, we will cover topics related to the securities fraud litigations, the impact of US Supreme Court judgments on the pleading in securities fraud litigations, the use of arbitrations as ADR and the secured transactions. Students will be assigned to make presentations in the class and followed by discussions guided by professor. 

課程目標
This course provides English-learning environment. Taiwanese students and foreign students may interact with one another. Students may also employ the comparative law approach to observe the development of legal regimes in different jurisdictions. 
課程要求
This course is conducted mainly in English. However, Mandarin may be used during discussion if it is deemed necessary to help discussion.
Course Requirements:
1. Read the assigned reading.
2. Class participation.
3. Term paper.  
預期每週課後學習時數
 
Office Hours
備註: Please make appointment 
指定閱讀
 
參考書目
 
評量方式
(僅供參考)
 
No.
項目
百分比
說明
1. 
Class Participation 
70% 
到課參與討論為必要要求與評分重點之一。Please read the assigned reading and participate class discussion. You will have the opportunity to make presentation. Class Attendance is required.  
2. 
Term Paper 
30% 
Students enrolled shall complete an independent research term paper at the end of the semester. The topic shall be relevant to the content of this course. The proposal shall be 7,000 words or 8 pages in length.(標楷體, Times New Roman, font size 12, 行距 25 points)。  
 
課程進度
週次
日期
單元主題
Week 1
  課程簡介及報告分組 
Week 2
  James D. Cox: The Shareholders' Best Advocate 
Week 3
  證券詐欺Section 10(b)之發展回顧 
Week 4
  The Cost of Securities Fraud 
Week 5
  The Cost of Securities Fraud 
Week 6
  Spring Break 
Week 7
  證券訴訟之起訴聲明(一):最高法院之影響力
Impact of the wording Plausible & Conclusory;
Information-Forcing Rule;
Notice Pleading Requirement
 
Week 8
  證券訴訟之起訴聲明(二):最高法院之影響力
Impact of the wording Plausible & Conclusory 
Week 9
  證券訴訟之起訴聲明(三):最高法院之影響力
Judicial Access Barriers to Remedies for Securities Fraud: 1995 PSLRA, Fed. Rule of Civil Procedures and Evidence, Fed. Courts create barriers ... 
Week 10
  證券訴訟之起訴聲明(四):Proposal for Securities Fraud Pleading (in response to Supreme Court's Judgments) 
Week 11
  Arbitration of Investors Claims as Alternative Dispute Resolution 
Week 12
  Freedom of Contract? Arbitration Clause for Dispute between Shareholders and the Issuer. 
Week 13
  Regulating Hedge Fund and Private Equity Fund 
Week 14
  Secured Transaction: Exporting and Importing UCC Art 9 
Week 15
  Security Interest 
Week 16
  Security Interest and other Aspect of Secured Transaction 
Week 17
  撰寫期末報告