課程資訊
課程名稱
亞洲金融法
Financial Regulations in Asia 
開課學期
104-2 
授課對象
法律學院  法律學系  
授課教師
陳肇鴻 
課號
LAW5280 
課程識別碼
A21EU4290 
班次
 
學分
全/半年
半年 
必/選修
選修 
上課時間
 
上課地點
 
備註
本課程以英語授課。TueWedThu(910A)on May3-25 @Room1304
總人數上限:50人 
Ceiba 課程網頁
http://ceiba.ntu.edu.tw/1042LAW5280 
課程簡介影片
 
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課程概述

*本課程詳情請參ceiba
*加簽事宜
本課程加選方式為2,欲加選本課程的同學,請於2/22(一)下午1:20~5:20,至課程助教陳彥蓉之研究室2409(臺大法律系萬才館四樓)外面填寫及領取授權碼。 若有任何疑問,歡迎於上述時段進入研究室詢問助教,或是來信 r01a21053@ntu.edu.tw,謝謝。

*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. 2409 (NTU College of Law, Wan-Tsai Building, 4th floor ) on 2/22 (Mon.) during 1:20~5:20 pm. and fill in and take the authorization code.
If you have any questions, feel free to come in 2409 during 1:20~5:20 pm. and talk to the TA Yen-Ron (Caroline) Chen or contact me via r01a21053@ntu.edu.tw. Thank you.

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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. 

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
 
預期每週課後學習時數
 
Office Hours
 
指定閱讀
待補 
參考書目
待補 
評量方式
(僅供參考)
   
課程進度
週次
日期
單元主題