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課程資訊

課程名稱	亞洲金融法 Financial Regulations in Asia
開課學期	105-2
授課對象	法律學院法律研究所
授課教師	陳肇鴻
課號	LAW5280
課程識別碼	A21EU4290
班次
學分	1.0
全/半年	半年
必/選修	選修
上課時間
上課地點
備註	Intensive courses。本課程以英語授課。密集課程。WedThuFri789 on May10.11.12.17.18.19 @Room1304 總人數上限：50人
Ceiba 課程網頁	http://ceiba.ntu.edu.tw/1052LAW5280
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課程概述	＊For more information, please visit CEIBA of this course. ＊Registration/Authorization Code If you wish to take this class but have not registered, please come to the TA's office at room No.1804 (NTU College of Law, Tsai Lecture Hall, 8th floor) on Feb.22 (Wed.) during 1:20~5:20pm. and fill in and take the authorization code. If you have any questions, feel free to come in 1804 during 1:20~5:20 pm. and talk to the TA, Ming-Chan(Jack), Hsieh or contact me via r05a21106@ntu.edu.tw. Thank you. --- This course will explore various topics relating to financial regulations in Asia, with a particular focus in international financial regulations and the developed in Singapore and Hong Kong, the two biggest international financial centres in East and Southeast Asia outside Japan. The course will focus mainly on banking regulations; but some issues in insurance regulations and capital market regulations will also be compared. Throughout the courses, we will discuss and consider a wide ranges of issues from new global trend in regulatory structure, prudential regulations and to misselling of financial products and OTC derivatives regulation. We will discuss both theoretical issues as well as some details of regulations to allow students to have a bird eye view of key issues facing financial regulators and market participants in the post-Lehman era. TA ：謝明展(HSIEH, MING-CHAN) E-mail ：r05a21106@ntu.edu.tw
課程目標	By the end of this course, students will be able to: Understand the regulatory structure and source of law for financial regulations in relevant jurisdictions; Finding out key resources and rules in Singapore, Hong Kong, China and Taiwan; Identifying key legal issues facing financial regulators and market participants; Evaluating potential consequences of financial regulations on a financial transaction; Understand basic compliance issues facing financial institutions.
課程要求	1. General overview Background: the financial market and financial institutions in East and Southeast Asia Functions of different financial institutions and regulatory goals Design of regulatory structure, regulator(s) and law Source of law: Domestic regulations and international soft law 2. Prudential regulation – Capital adequacy and solvency Basel Accord: historical development of the Basel Accord New developments post global financial crisis Cf. Solvency standards for insurers 3. Regulation on investment and risk management Restraints on banks’ investment in equity and land Regulation on investment made by insurers Impact of Volcker Rule from the US Separation of finance from industry 4. OTC derivatives regulation Meaning and function of derivatives Function of the ISDA master agreement Mandatory reporting, clearing and trading rules 5. Conduct of business General conduct of business and its effects Bank-customer relationship Bank secrecy Misselling and financial consumer protection Dispute resolution 6. Corporate governance and key person Key persons approval and criteria Corporate governance rules Remuneration 7. Resolution of financial institution and G-SIFI Resolution of financial institution in the domestic context Meaning of global systemically important financial institutions Resolution of G-SIFI and the key contributes 8. Anti-money laundering and terrorism financing; Tax 9. New frontiers Mobile and digital banking Alternative risk management and transfer Fintech
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