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課程名稱 |
金融市場監理導論
INTRODUCTION TO REGULATION FINAN CIAL MARKET |
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開課學期 |
94-2 |
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授課對象 |
法律學院 法律學系 |
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授課教師 |
汪信君 |
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課號 |
LAW5330 |
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課程識別碼 |
A21 U2510 |
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班次 |
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學分 |
2 |
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全/半年 |
半年 |
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必/選修 |
選修 |
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上課時間 |
星期二7,8(14:20~16:20) |
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上課地點 |
社法10 |
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備註 |
限學士班三年級以上 |
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課程簡介影片 |
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核心能力關聯 |
本課程尚未建立核心能力關連 |
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課程大綱
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為確保您我的權利,請尊重智慧財產權及不得非法影印
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課程概述 |
就金融市場之重要性攸關一國健全與穩定之經濟發展。惟於金融市場監督上於國內論述多乏相關理論基礎抑或由公法學等加以論述。實際上金融市場相關之管制或監理（Regulation本課程以監理稱之），多有賴相關個體經濟理論加以推論並藉由相關監理制度以建立適當之金融市場。故本課程先講述相關政府管制或介入市場之各種相關經濟理論為基礎，再輔以金融市場監理個別問題之探討，期使參與本課程學生得以對於金融市場當前相關問題有一完整瞭解。而由於金融市場相關課題相關廣泛，因此本學期僅就兩項主題予以探討。一則為相關經濟理論與政府管制間之關係，並輔以金融市場監理所牽涉之問題以及單一監理機關之理論；另一則以金融市場中尤其於金融集團下所可能產生之利益衝突為論述對象。 |
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課程目標 |
就金融市場之重要性攸關一國健全與穩定之經濟發展。惟於金融市場監督上於國內論述多乏相關理論基礎抑或由公法學等加以論述。實際上金融市場相關之管制或監理（Regulation本課程以監理稱之），多有賴相關個體經濟理論加以推論並藉由相關監理制度以建立適當之金融市場。故本課程先講述相關政府管制或介入市場之各種相關經濟理論為基礎，再輔以金融市場監理個別問題之探討，期使參與本課程學生得以對於金融市場當前相關問題有一完整瞭解。而由於金融市場相關課題相關廣泛，因此本學期僅就兩項主題予以探討。一則為相關經濟理論與政府管制間之關係，並輔以金融市場監理所牽涉之問題以及單一監理機關之理論；另一則以金融市場中尤其於金融集團下所可能產生之利益衝突為論述對象。 |
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課程要求 |
授課內容：
本科目教授內容於本學期分為二大部分，依序如下：
Part I.Regulation-theory
(R. Baldwin, Understanding Regulation-Theory, Strategy, and Practice
R. Baldwin, C. Scott, C. Hood, A Reader on Regulation)
1. Rationales For Regulation
2. Explaining Regulation
3. Regulatory Strategies
4. What is “Good” Regulation? & Cost-Benefit Testing of Regulation
5. Self-Regulation & Rethinking Self Regulation (A. Ogus)
6. Regulating Risks
7. Regulation v.s. Competition
8. The Applicability of Law and Economics to Law and Development: The Case of Financial Law (J. Norton (ed.), at 29-57)
9. The Economic Rationale for Financial Regulation (D. Llewellyn, 60 pp)
http://www.fsa.gov.uk/pubs/occpapers/OP01.pdf
10. The Rationale for A Single National Financial Services Regulator, C. Briault (42 pp) http://www.fsa.gov.uk/pubs/occpapers/OP02.pdf
11. Structuring The Bank Regulatory and Supervisory Structures: Implications for Emerging Economies (J.J. Norton, at 99-123)
12. LAW ENFORCEMENT UNDER INCOMPLETE LAW: Theory and Evidence from Financial Market Regulation, C. Xu, http://ideas.repec.org/p/ecm/feam04/791.html
13. The Regulation of Financial Services: Lessons from the UK for 1992 (in C. Mayer, at 138-159)
Part II. Financial Market and Conflicts of Interests
1. Conflicts of Interest and Duty in Financial Conglomerates (H. McVea, at 18-40)
2. Insider Dealing: The Nature of the Problem (in H. McVea, at 41-62)
3. The Chinese Wall (in H. McVea, at 122-134)
4. The Chinese Wall: A Policy Analysis (in H. Mc Vea, at 201-234)
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預期每週課後學習時數 |
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Office Hours |
另約時間 |
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指定閱讀 |
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參考書目 |
R. Baldwin, Understanding Regulation-Theory, Strategy, and Practice
R. Baldwin, C. Scott, C. Hood, A Reader on Regulation
R. M. Lastra (ed.), The Reform of the International Financial Architecture
J. J. Norton and M. Andenas(ed.), Emerging Financial Markets and the Role of International Organizations
J. J. Norton, Financial Sector Law Reform in Emerging Economies
M. Bishop, J. Kay, C. Mayer, The Regulatory Challenge
H. McVea, Financial Conglomerates and the Chinese Wall-Regulating Conflicts of Interest
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評量方式
(僅供參考) |
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No. |
項目 |
百分比 |
說明 |
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1. |
期中考 |
20% |
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2. |
期末考 |
20% |
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3. |
作業 |
50% |
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4. |
報告 |
40% |
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5. |
出席 |
10% |
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週次 |
日期 |
單元主題 |
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第1週 |
2/21 |
1. Rationales For Regulation |
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第2週 |
2/28 |
2. Explaining Regulation |
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第3週 |
3/07 |
3. Regulatory Strategies |
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第4週 |
3/14 |
4. What is “Good” Regulation? & Cost-Benefit Testing of Regulation |
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第5週 |
3/21 |
5. Self-Regulation & Rethinking Self Regulation (A. Ogus) |
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第6週 |
3/28 |
6. Regulating Risks |
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第7週 |
4/04 |
7. Regulation v.s. Competition |
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第8週 |
4/11 |
8. The Applicability of Law and Economics to Law and Development: The Case of Financial Law (J. Norton (ed.), at 29-57) |
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第9週 |
4/18 |
8. The Applicability of Law and Economics to Law and Development: The Case of Financial Law (J. Norton (ed.), at 29-57) |
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第10週 |
4/25 |
9. The Economic Rationale for Financial Regulation (D. Llewellyn, 60 pp)
http://www.fsa.gov.uk/pubs/occpapers/OP01.pdf
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第11週 |
5/02 |
9. The Economic Rationale for Financial Regulation (D. Llewellyn, 60 pp)
http://www.fsa.gov.uk/pubs/occpapers/OP01.pdf
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第12週 |
5/09 |
10. The Rationale for A Single National Financial Services Regulator, C. Briault (42 pp) http://www.fsa.gov.uk/pubs/occpapers/OP02.pdf |
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第13週 |
5/16 |
10. The Rationale for A Single National Financial Services Regulator, C. Briault (42 pp) http://www.fsa.gov.uk/pubs/occpapers/OP02.pdf |
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第14週 |
5/23 |
11. Structuring The Bank Regulatory and Supervisory Structures: Implications for Emerging Economies (J.J. Norton, at 99-123) |
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第15週 |
5/30 |
11. Structuring The Bank Regulatory and Supervisory Structures: Implications for Emerging Economies (J.J. Norton, at 99-123) |
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第16週 |
6/06 |
12. LAW ENFORCEMENT UNDER INCOMPLETE LAW: Theory and Evidence from Financial Market Regulation, C. Xu, http://ideas.repec.org/p/ecm/feam04/791.html |
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第17週 |
6/13 |
12. LAW ENFORCEMENT UNDER INCOMPLETE LAW: Theory and Evidence from Financial Market Regulation, C. Xu, http://ideas.repec.org/p/ecm/feam04/791.html |
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第18週 |
6/20 |
13. The Regulation of Financial Services: Lessons from the UK for 1992 (in C. Mayer, at 138-159) |
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第19週 |
6/27 |
期末 |
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