課程資訊
課程名稱
比較企業金融法制專題研究一
Seminar on Comparative Enterprise & Finacial Laws (Ⅰ) 
開課學期
106-2 
授課對象
法律學院  科際整合法律學研究所  
授課教師
林仁光 
課號
LAW7351 
課程識別碼
A21 M8950 
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
法研2 
備註
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/1062LAW7351_FIN_LAW 
課程簡介影片
 
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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 be topics related to the securities fraud litigation, impact of US Supreme Court judgments on the pleading in securities litigations, arbitrations and secured transactions. Students will be assigned to make presentations in the class and followed by discussions guided by professor.  

課程目標
The purpose of this course is to provide a venue for students to learn Enterprise and financial laws related topics and to develop thinking and analysis skills. Students have the opportunities to present and participate discussions in the classes. The presentation may be conducted in English or Mandarin at your wish. However, the discussion will be conducted mainly in Mandarin. 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
2/27  課程簡介及報告分組 
Week 2
3/6  James D. Cox: The Shareholders' Best Advocate 
Week 3
3/13  證券詐欺Section 10(b)之發展回顧 
Week 4
3-20  The Cost of Securities Fraud 
Week 5
3/27  The Cost of Securities Fraud 
Week 6
4/3  Spring Break 
Week 7
4/10  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
4/17  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
4/24  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
5/1  證券訴訟之起訴聲明(四):Proposal for Securities Fraud Pleading (in response to Supreme Court's Judgments) 
Week 11
5/8  Arbitration of Investors Claims as Alternative Dispute Resolution 
Week 12
5/15  Freedom of Contract? Arbitration Clause for Dispute between Shareholders and the Issuer. 
Week 13
5/22  Regulating Hedge Fund and Private Equity Fund 
Week 14
5/29  Secured Transaction: Exporting and Importing UCC Art 9 
Week 15
6/5  Security Interest 
Week 16
6/12  Security Interest and other Aspect of Secured Transaction 
Week 17
6/19  撰寫期末報告