請用此 Handle URI 來引用此文件:
http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/25590
完整後設資料紀錄
DC 欄位 | 值 | 語言 |
---|---|---|
dc.contributor.advisor | 羅昌發 | |
dc.contributor.author | Meng-Wei Ling | en |
dc.contributor.author | 林孟衛 | zh_TW |
dc.date.accessioned | 2021-06-08T06:20:09Z | - |
dc.date.copyright | 2006-09-14 | |
dc.date.issued | 2006 | |
dc.date.submitted | 2006-09-10 | |
dc.identifier.citation | 中文專書
1. 王文宇,公司法論,2版,2005年7月。 2. 王文宇,新金融法,2004年。 3. 行政院金管會銀行局、中華民國銀行公會新巴賽爾資本協定共同研究小組、財團法人台灣金融研訓院編譯,銀行自有資本之計算與自有資本標準之國際通則:修正板架構,2005年3月。 4. 曾宛如,公司管理與資本市場法制專論,2002年。 5. 曾宛如,證券交易法原理,3版,2005年。 6. 曾陳明汝,國際私法原理(上集):總論篇,改訂7版,2003年6月。 7. 羅昌發,國際貿易法,1996年。 中文期刊 1. 王文宇,論金融政策與金融監理法制,台灣本土法學雜誌,第65期,2004年12月,第34頁。 2. 王文宇,金融資產證券化之法律架構與管制爭議,台大法學論叢,第31卷第2期,2002年3月,第197頁。 外文專書 1. Arup, Cristopher, The New World Trade Organization Agreements: Globalizing Law Through Services and Intellectual Property (2000). 2. August, Ray, International Business Law: Texts, Cases, and Readings (2004). 3. Blair, William, Austin Allison, Guy Morton, Peter Richards-Carpenter, George Walker and Nicholas Walmsley, Banking and Financial Services Regulation (3rd ed. 2002). 4. Bowers, Tab, Greg Gibb and Jefferey Wong, Banking in Asia: Acquiring a Profit Mindset (2nd ed. 2003). 5. Broome, Lissa L. and Jerry W. Markham, Regulation of Bank Financial Service Activities: Cases and Materials (2001). 6. Cottier, Thomas, Petros C. Mavroidis and Patrick Blatter eds., Regulatory Barriers and the Principle of Non-Discrimination in World Trade Law (2000). 7. Craig, Paul and Grainne de Burca, EU Law: Text, Cases, and Materials (3rd ed. 2003). 8. Dunning, John H., Karl P. Sauvant and Padma Mallampally eds., Transnational Corporations in Services, the United Nations Library on Transnational Corporations, Vol. 12 (1993). 9. Eiteman, David K., Arthur I. Stonehill and Michael H. Moffett, Multinational Business Finance (3rd ed. 2004). 10. Gaughan, Patrick A., Mergers, Acquisitions, and Corporate Restructuring (3rd ed. 2002). 11. Goodhart, Charles Et. Al., Financial Regulation: Why, How and Where now? (1998). 12. Gup, Benton E., Introduction to the Basel Capital Accords, in the New Basel Capital Accord (2004). 13. Hazen, Thomas Lee, The Law of Securities Regulation (4th ed. 2002). 14. Hopt, Klaus J and Eddy Wymeersch eds., Capital Market and Company Law (2003). 15. Jackson, Howell E. and Edward L. Symons Jr., Regulation of Financial Institutions, (1999). 16. Jackson, John H., William J. Davey and Alan O. Sykes, Jr., Legal Problems of International Economic Relations: Cases, Materials and Text (4th ed., 2002). 17. Jennings, Richard W., Harold Marsh, Jr., John C. Coffee, Jr., and Joel Seligman, Securities Regulation: Cases and Materials (8th ed. 1998). 18. Jones, Geoffrey, Banks as Multinationals (1990). 19. Jones, Geoffrey, Multinational and International Banking (1992). 20. Jorion, Philippe, Value at Risk—The New Benchmark for Managing Financial Risk (2nd ed. 2000). 21. Kidwell, David S., David W. Blackwell, David A. Whidbee and Richard L. Peterson, Financial Institutions, Markets, and Money (9th ed. 2006). 22. Kiesco, Donald E., Jerry J. Weygandt, and Terry D. Warfield, Intermediate Accounting (11th ed. 2005). 23. Kolde, International Business Enterprises (2nd ed. 1973). 24. Larson, Kermit D., John J. Wild and Barbara Chiappetta, Fundamental Accounting Principles (16th ed. 2002). 25. Lhabitant, Francois-Serge, Hedge Funds: Myths and Limits (2002). 26. Macey, Jonathan R., Geoffrey P. Miller and Richard Scott Carnell, Banking Law and Regulation (3rd ed. 2001). 27. Mandura, Jeff, Financial Markets and Institutions (6th ed. 2003). 28. Mandura, Jeff, International Financial Management (7th ed. 2003). 29. Mikesell, Raymond F., Appraising IMF Conditionality: Too Loose, Too Tight, or Just Right? in John Williamson ed., IMF Conditionality (1983). 30. Mishkin, Frederic S. and Stanley G. Eakins, Financial Markets and Institutions (4th ed. 2003). 31. Norton, Joseph J., Financial Sector Reform and International Financial Crises: the Legal Challenges (1998). 32. Poser, Norman S., The Economics and Structure of the Securities Industry, Broker-Dealer Law and Regulation (2nd ed. 1998). 33. Radebaugh, Lee H. and Sidney j. Gray, International Accounting and Multinational Enterprises (2002). 34. Rose, Peter S. and Sylvia C. Hudgins, Bank Management and Financial Services (6th ed. 2005). 35. Ross, Stephen A., Randolph W Westerfield, and Jeffrey Jaffe, Corporate Finance (7th ed. 2005). 36. Saunders, Anthony and Marcia Millon Cornett, Financial Institutions Management: a Risk Management Approach (2003). 37. Schefer, K. N., International Trade in Financial Services: the NAFTA Provisions (1999). 38. Schneeman, Angela, The Law of Corporations, and Business Organizations (3rd ed. 2002). 39. Scott, Hal S. and Philip A. Wellons, International Finance: Transactions, Policy, and Regulation (3rd ed. 2003). 40. Spencer, Peter D., The Structure and Regulation of Financial Markets (2000). 41. Steinberg, Marc I., International Securities Law: A Contemporary and Comparative Analysis (1999). 42. Tan, Gerald, The Asian Currency Crisis (2000). 43. The International Monetary Fund, Balance of Payments Manual (5th ed. 1993). 44. Tirole, Jean, Financial Crises, Liquidity, and the International Monetary System (2002). 45. Walker, George Alexander, International Banking Regulation: Law, Policy and Practice (2000). 46. Wallace, Cynthia Day, the Multinational Enterprise and Legal Control: Host State Sovereignty in an Era of Economic Globalization (2002). 47. Williamson, John ed., IMF Conditionality (1983). 48. WTO Secretariat, Guide to the GATS (2001). 49. WTO, WTO Analytical Index: Guide to WTO Law and Practice, vol. 2 (1st ed. 2003). 50. Yokoi-Arai, Mamiko, Financial Stability Issues: The Case of East Asia (2002). 51. 西村吉正,日本の金融制度改革,2003年。 52. 貝塚啟明、賀來景英、鹿野嘉昭,金融用語辭典,第4版,2005年。 外文期刊 1. Abu-Akeel, Aly K., Definition of Trade in Services under GATS: Legal Implications, 32 Geo. Wash. J. Int’l L. and Econ. 189. 2. Alford, Duncan E., Basle Committee Minimum Standards: International Regulatory Response to the Failure of BCCI, 26 Geo. Wash. J. Int’l L. & Econ. 241 (1992). 3. Alford, Duncan E., Core Principles for Effective Banking Supervision: An Enforceable International Financial Standard? 28 B.C. Int'l & Comp. L. Rev. 237 (2005). 4. Anderson, John William, Jr. Regulatory and Supervisory Independence: Is There A Case for Independent Monetary Authorities in Brazil? 10-SPG L. & Bus. Rev. Am. 253 (2004). 5. Attanasio, John B., Foreword: The Asian Financial Contagion—A Global Epidemic, 33 Int’l Law. 847 (1999). 6. Avgouleas, Emilios, A Critical Evaluation of the New EC Financial Market Regulation: Peaks, Throughs, and the Road Ahead, 18 Transnat’l Law. 179 (2005). 7. Avi-Yonah, Reuven S., International Tax as International Law, 57 Tax L. Rev. 483 (2004). 8. Bagheri, Mahmood and Chizu Nakajima, Optimal Level of Financial Regulation under the GATS: a Regulatory Competition and Cooperation Framework for Capital Adequacy and Disclosure of Information, 5 J. Int'l Econ. L. 507 (2002). 9. Beck, Thorston, Financial Dependence and International Trade, 11 Review of International Economics, No.2, 296-313 (2003). 10. Bennett, Michael S. and Michael J. Marin, The Casablanca Paradigm: Regulatory Risk in the Asian Financial Derivatives, 5 Stan. J. L. Bus. & Fin. 1 (1999). 11. Berger, Allen N., Iftekhar Hasan, Leora F. Klapper, Further Eveidence on the Link between Finance and Growth: An International Analysis of Community Banking and Economic Performance, Journal of Financial Services Research 25, No. 2, 169-202 (2004). 12. Bolter, Adam R., Regulation of Hedge Fund Advisers: a Valid Exercise of Rulemaking Authority or the Promulgation of New Law? 57 Admin. L. Rev. 595 (2005). 13. Broome, Lissa L. and Jerry W. Markham, Banking and Insurance: Before and After the Gramm-Leach-Bliley Act, 25 J. Corp. L. 723 (2000). 14. Brownbridge, Martin and Colin Kirkpatrick, Financial Sector Regulation: The Lessons of the Asian Crisis, Development Policy Review 17, 243-266 (1999). 15. Brownstein, Andrew R., Mitchell S. Presser, David E. Shapiro, Private Equity Funds: Legal Analysis of Structural, ERISA and Securities Issues, 1276 PLI/Corp 7 (2001). 16. Case, Kristin Leigh, The Daiwa Wake-Up Call: The Need for International Standards for Banking Supervision, 26 Ga. J. Int’l & Comp. L. 215 (1996). 17. Cetorelli, Nicola, Real Effects of Bank Competition, Journal of Money, Credit, and Banking 36, No.3, 543-558 (June 2004). 18. Cetorelli, Nicola and Michele, Gambera, Banking Market Structure, Financial Dependence and Growth: International Evidence from Industry Data, the Journal of Finance LVI, No. 2, 617-648 (April 2001). 19. Clark, Robert C., The Federal Income Taxation of Financial Intermediaries, 84 Yale L. J. 1603 (1975). 20. Clausson, Olof, Alex Cohen, Michael Immordino, Timothy Spangler and Richard Trobman, Deciding to Tap US Capital Markets, 1319 PLI/Corp 543 (2002). 21. Cochran, Martha, Michael Mierzewski, Lisa Chavarria, New Financial Modernization Legislation-The Gramm-Leach-Bliley Act, 1156 PLI/Corp 599 (1999). 22. Coffee, John C. Jr., Market Failure and the Economic Case for a Mandatory Disclosure System, 70 Virginia Law Review 717 (1984). 23. Coffee, John C. Jr., The SEC and the Institutional Investor: a Half-time Report, 15 Cardozo L. Rev. 837 (1994). 24. Coffee, John C. Jr., Racing towards the Top? The Impact of Cross-listing and Stock Market Competition on International Corporate Governance, 102 Colum. L. Rev. 1757 (2002). 25. Coffee, John C. Jr., Gatekeeper Failure and Reform: The Challenge of Fashioning Relevant Reforms, 84 B.U. L.Rev. 301 (April 2004). 26. Cox, Laura J., The Impact of the Citicorp-Travelers Group Mergers on Financial Modernization and the Repeal of Glass-Steagall, 23 Nova L. Rev. 899 (1999). 27. Di, Giorgio and Carmine Di Noia, Financial Market Regulation and Supervision: How Many Peaks for the Euro Area? 28 Brook. J. Int’l L 463 (2003). 28. Editorial: Is Now the Time for the EU to Consider a Single Financial Regulator? International Financial Law Review, 1 (March 2005). 29. Elgar, Ofer, Reform of IMF Conditionality: A Proposal for Self-Imposed Conditionality, 8 J. Int’l Econ. L. 509 (2005). 30. Felsenfeld, Carl and Genci Bilali, The Role of the Bank for International Settlements in Shaping the World Financial System, 25 U. Pa. J. Int’l Econ. L. 945 (2004). 31. Ferran, Eilis, Examining the United Kingdom’s Experience in Adopting the Single Financial Regulator Model, 28 Brook. J. Int’l L. 257 (2003). 32. Fisch, Jill E. and Hillary A. Sale, The Securities Analyst As Agent: Rethinking the Regulation of Analysts, 88 Iowa L. Rev. 1035 (2003). 33. Fontecchio, John M., The General Agreement on Trade in Services: Is It the Answer to Creating a Harmonized Global Securities System? 20 N.C. J. Int’l & Com. Reg. 115 (1994). 34. Foot, Michael, The FSA: The First Six Years, Journal of Financial Regulation and Compliance, Vol. 13, No. 3 (2004). 35. Friedman, Stephen J., Regulatory Change: A Step in the Right Direction, 8 Ann. Rev. Banking L. 365 (1989). 36. Gertler, Mark, Financial Structure and Aggregate Economic Activity: An Overview, Journal of Money, Credit and Banking 20, 559-588 (1988). 37. Gianviti, Francois, The Reform of the International Monetary Fund (Conditionality and Surveillance), 34 Int’l Law. 107 (2000). 38. Gkoutzinis, Apostolos, International trade in Banking Services and the Role of the WTO: Discussing the Legal Framework and Policy Objectives of the General Agreement on Trade in Services and the Current State of Play in the Doha Round of Trade Negotiations, 39 Int’l Law. 877 (2005). 39. Goodhart, Charles and Dirk Schoenmaker, Should the Functions of Monetary Policy and Banking Supervision be Separated? 47 Oxford Economics Papers 539-560 (1995). 40. Griffin, Patrick B., The Delaware Effect: Keeping the Tiger in Its Cage. The European Experience of Mutual Recognition in Financial Services, 7 Colum. J. Eur. 337 (2001). 41. Hazen, Thomas Lee, Relation of Securities Law to Other Laws, SL001 ALI-ABA 23. 42. Ho, Daniel E., Compliance and International Soft Law: Why Do Countries Implement the Basle Accord? 5 J. Int’l Econ. L. 647 (2002). 43. Hval, Nina, Financial Modernization in the United States: What New Financial Activities U.S. Banks and foreign Banks in the United States Can Now Pursue, 34 Int’l Law. 1133 (2000). 44. Jarreau, J. Steven, Interpreting the General Agreement on Trade in Services and the WTO Instruments Relevant to the International Trade of Financial Services: the Lawyer’s Perspective, 25 N.C. J. Int’l L. and Com. Reg. 1 (1999). 45. Kanas, Angelos, Contagion in Banking Due to BCCI’s Failure: Evidence from National Equity Indices, International Journal of Finance & Economics Vol. 9 No. 3, 245-255 (2004). 46. Karmel, Securing Regulation: The IOSCO Venice Conference, N.Y.L.J. (October 19, 1989) 47. Karmel, Roberta S., Reform of Public Company Disclosure in Europe, 26 U. Pa. J. Int’l Econ. L. 379 (2005). 48. Kennedy, Keven C., A WTO Agreement on Investment: A Solution in Search of a Problem? 24 U. Pa. J. Int’l Econ. L. 77 (2003). 49. Kim, Hwa-Jin, Living with the IMF: A New Approach to Corporate Governance and Regulation of Financial Institutions in Korea, 17 Berkeley J. Int’l L. 61 (1999). 50. Kirsch, Clifford E., the Money Management Industry, 1412 PLI/Corp 9 ( 2004). 51. Kung, Felicia H., 26 U. Pa. J. Int’l Econ.L. 409 (2005). 52. Lannoo, Karel, Challenges to the Structure of Financial Supervision in the E.U., J.I.F.M 2000, 2(4), 98-118. 53. Lastra, Rosa M., the Governance Structure for Financial Regulation and Supervision in Europe, 10 Colum. J. Eur. L. 49 (2003). 54. Licht, Amir N., Games Commissions Play: 2X2 Games of International Securities Regulation, 24 Yale J. Int'l L. 61 (1999). 55. Licht, Amir N., Stock Exchange Mobility, Unilateral Recognition, and the Privatization of Securities Regulation, 41 Va. J. Int’l L. 583 (2001). 56. Lichtenstein, Cynthia Crawford, The FED’s New Model of Supervision for “Large Complex Banking Organizations”: Coordinated Risk-Based Supervision of Financial Multinationals for International Financial Stability, 18 Transnat’ Law. 283 (2005). 57. Llewellyn, David T., An Analysis of the Causes of Recent Banking Crises, the European Journal of Finance 8, 152-175 (2002). 58. Mabry, Linda A., Multinational Corporations and U.S. Technology Policy: Rethinking the Concept of Corporate Nationality, 87 Geo. L. J. 563. 59. Malkonen, Ville, Capital Adequacy Regulation and Financial Conglomerates, Journal of International Banking Regulation, vol. 6 no. 1, 33-52 (2004). 60. Malloy, Michael P., Emerging International Regime of Financial Services Regulation, 18 Transnat’l Law. 329, 330 (2005). 61. Mann, Michael D. and William P. Barry, Developments in the Internationalization of Securities Enforcement, 39 Int’l Law. 667. 62. Markham, Jerry W., Super Regulator: A Comparative Analysis of Securities and Derivatives Regulation in the United States, the United Kingdom, and Japan, 28 Brook. J. Int’l L. 319 (2003). 63. Mirkay, Nicholas A., Relinquish Control! Why the IRS Should Change Its Stance on Exempt Organizations in Ancillary Joint Ventures, 6 Nev. L.J. 21 (2005). 64. Mitchell, Gregory, Case Studies, Counterfactuals, and Causal Explanations, 152 U. Pa. L. Rev. 1517 (2004). 65. Mwenda, Kenneth K. and Judith M. Mvula, A Framework for Unified Financial Services Supervision: Lessons from Germany and Other European Countries, Journal of International Banking Regulation, Vol. 5 No. 3, 35-56 (2003) 66. Norton, Joseph J. and Christopher D. Olive, Globalization of Financial Risks and International Supervision of Banks and Securities Firms: Lessons from the Barings Debacle, 30 Int’l Law. 301 (1996). 67. Norton, Joseph J., “International Financial Law,” An Increasingly Important Component of “International Economic Law”: A Tribute to Professor John H. Jackson, 20 Mich. J. Int’l L. 133 (1999). 68. Norton, Joseph J. and Christopher D. Olive, A By-product of the Globalization Process: the Rise of Cross-border Bank Mergers and Acquisitions-the U.S. Regulatory Framework, 56 Bus. Law. 591 (2001). 69. Norton, Joseph J., The Modern Genre of Infrastructural Law Reform: The Legal and Practical Realities—The Case of Banking Reform in Thailand, 55 SMU L. Rev. 235 (2002). 70. Norton, Joseph J., A Perceived Trend In Modern International Financial Regulation: Increased Reliance on a Public-Private Partnership, 37 Int’l Law. 43 (2003). 71. Norton, Joseph J., Global Financial Sector Reform: The Single Financial Regulator Model Based on the United Kingdom FSA Experience-a Critical Reevaluation, 39 Int'l Law. 15 (2005). 72. Ofer, Ehud, Glass-Steagall: The American Nightmare That Became the Israeli Dream, 9 Fordham J. Corp. & Fin. L. 527 (2004). 73. Orcutt, John L., Investor Skepticism v. Investor Confidence: Why the New Research Analyst Reforms Will Harm Investors, 81 Denv. U. L. Rev. 1 (2003). 74. Raustiala, Kal, Form and Substance in International Agreements, 99 Am. J. Int’l L. 581 (2005). 75. Reisman, Kim, The World Bank and the IMF: at the Forefront of World Transformation, 60 Fordham L. Rev. S349, S351. 76. Rice, Gary, An Overview of U.S. Regulation of Depository Institutions, 1521 PLI/Corp 7. 77. Rider, Barry A. K., Financial regulation and Supervision after 11th September 2001, Journal of Financial Crime, Vol. 10 No. 4, 336-358 (2003). 78. Sale, Hillary A., Banks: The Forgotten Partners in Fraud, 73 U. Cin. L. Rev. 139 (2004). 79. Schooner, Heidi Mandanis, The Secrets of Bank Regulation, 6 Green Bag 2d 389 (2003). 80. Schooner, Heidi Mandanis and Michael Taylor, Convergence and Competition: the Case of Bank Regulation in Britain and the United States, 20 Mich. J. Int’l L. 595 (1999). 81. Schooner, Heidi Mandanis and Michael Taylor, United Kingdom and United States Responses to the Regulatory Challenges of Modern Financial Markets, 38 Tex. Int’l L. J. 317. 82. Sieland, Robert P., Caveat Emptor! After All the Regulatory Hoopla, Securities Analysts Remain Conflicted on Wall Street, 2003 U. Ill. L. Rev. 531 (2003). 83. Silard, Stephen A., The Role of International Monetary Fund, 32 Am. U. L. Rev. 89. 84. Simons, Katerina, Value at Risk—New Approaches to Risk Management, New England Economic Review, 3-11 (September/October, 1996). 85. Simser, Jeffrey, GATS and Financial Services: Redefining Borders, 3 Buff. J. Int’l L. 33 (1996). 86. Storelli, Claudio, Corporate Governance Failures—Is Parmalat Europe’s Enron? 2005 Colum. Bus. L. Rev. 765 (2005). 87. Taylor, Michael, United Kingdom and United States Response to the Regulatory Challenges of Modern Financial Markets, 38 Tex. Int’l L.J. 317 (2003). 88. Volkman, Brian P., The Global Convergence of Bank Regulation and Standards for Compliance, 115 Banking L.J. 550 (1998). 89. Wagner, Constance Z., the New WTO Agreement on Financial Services and Chapter 14 of NAFTA: Has Free Trade in Banking Finally Arrived? 5 NAFTA: L. and Bus. Rev. Am. 5 (1999). 90. Walker, George A., The Law of Financial Conglomerates: The Next Generation, 30 Int’l Law. 57 (1996). 91. Walker, John and Brendan Gormley, Multinational Banks Face Tougher Scrutiny, Int’l Fin. L. Rev. 41 (1996). 92. Weidenbaum, Antitrust Policy for the Global Market-Place, Journal of World Trade, 28 (February 1994). 93. Wilmarth, Arthur E., Jr., The Transformation of the U.S. Financial Services Industry, 1975-2000 Competition, Consolidation, and Increased Risks, 2002 U. Ill. L. Rev. 215 (2002). 94. Wright, Deloris R., Certain Issues in the Use of Profit-Based Methods, 10 Geo. Mason L. Rev. 895 (2002). 95. Zaring, David, Informal Procedure, Hard and Soft, in International Administration, 5 Chi. J. Int’l L. 547. WTO秘書處背景文件 WTO, Opening Markets in Financial Services and the Role of the GATS (September 22, 1997). Available on: http://www.wto.org/english/news_e/pres97_e/finance.pdf. WTO會議紀錄 1. Committee on Trade in Financial Services, Report of the Meeting Held on 13 April 2000, WTO Doc. S/FIN/M/25. 2. Committee on Trade in Financial Services, Report of the Meeting Held on 25 May 2000, WTO Doc. S/FIN/M/26. 3. Committee on Trade in Financial Services, Report of the Meeting Held on 20 November 2000, WTO Doc. S/FIN/M/28. 4. Committee on Trade in Financial Services, Report of the Meeting Held on 8 May 2001 WTO Doc. S/FIN/M/30. 5. Committee on Trade in Financial Services, Report of the Meeting Held on 1 June 2001, WTO Doc. S/FIN/M/31. 6. Committee on Trade in Financial Services, Report of the Meeting Held on 8 July 2002, WTO Doc. S/FIN/M/35. 7. Committee on Trade in Financial Services, Report of the Meeting Held on 26 February 2003 WTO Doc. S/FIN/M/39. 8. Committee on Trade in Financial Services, Report of the Meeting Held on 23 March 2004, WTO Doc. S/FIN/M/44. 9. Committee on Trade in Financial Services, Report of the Meeting Held on 23 September 2005, WTO Doc. S/FIN/M/50. 國際清算銀行暨巴賽爾銀行監理委員會文件 1. Basel Committee on Banking Supervision, Bank Failures in Mature Economies, Working Paper No. 13, 49 (April 2004). Available on: http://www.bis.org/publ/bcbs_wp13.pdf. 2. Gerlach, Stefan, Wenshang Peng and Chang Shu, Macroeconomic Conditions and Banking Performance in Hong Kong SAR: A Panel Data Study, in Bank for International Settlements, BIS Papers No. 22, Investigating the Relationship between the Financial and Real Economy (April 2005). 經濟合作暨發展組織文件 Tsuru, Kotaro, Finance and Growth: Some Theoretical Considerations, and a Review of the Empirical Literature, OECD Economics Department Working Papers No. 228 (OECD Doc. ECO/WKP (2000)1), 14. 國際證券監理委員會組織文件 1. IOSCO, International Disclosure Standards for Cross-Border Offerings and Initial Listings by Foreign Issuers, 3 (September 1998). 2. IOSCO, Resolution of the Presidents' Committee on the International Benchmark for Enforcement Related Cooperation and Exchange of Information (April 2005), available on IOSCO website: http://www.iosco.org/library/resolutions/pdf/IOSCORES24.pdf. 歐盟文件 1. Commission of the European Communities, Communication from the Commission: Financial Services: Building a Framework for Action,1 (October 28, 1998). Available on: http://aei.pitt.edu/3353/01/000529_1.pdf. 2. Final Report of the Committee of Wise Men on the Regulation of European Securities Markets (February 15, 2001). Available on: http://ec.europa.eu/internal_market/securities/docs/lamfalussy/wisemen/final-report-wise-men_en.pdf. JOINT FORUM文件 Basel Committee on Banking Supervision, International Organization of Securities Commissions and International Association of Insurance Supervisors, The Joint Forum Compendium of Documents (July 2001). Available on: http://www.bis.org/publ/joint02.pdf. 世界銀行文件 1. The World Bank Giudelines on the Treatment of Foreign Direct Investment. Available on: http://ita.law.uvic.ca/documents/WorldBank.pdf. 2. World Bank, Finance for Growth: Policy Choices in a Volatile World (2001). 3. Polizatto, Vincent P., Prudential Regulation and Banking Supervision: Building and Insitutional Framework for Banks, Vol. 1, Background Paper for the 1989 World Bank World Development Report, The World Bank Doc. WPS 340, Jan. 1990. 美國聯邦準備理事會文件 The Federal Reserve System, Order Approving the Acquisition of a Bank (Mar. 16, 2005). Available on the FED website: http://www.federalreserve.gov/boarddocs/press/orders/2005/20050316/attachment.pdf. 美國證管會文件 Securities and Exchange Commission v. Parmalat Finanziaria S.p.A., Case No. 03 CV 10266 (PKC) (S.D.N.Y.). Available on: http://www.sec.gov/litigation/litreleases/lr18527.htm. 美國國會文件 1. 1992年美國參議院外交委員會調查報告(102d Congress 2d Session Senate Print 102-140),Available on: http://www.fas.org/irp/congress/1992_rpt/bcci/03hist.htm;http://www.fas.org/irp/congress/1992_rpt/bcci/01exec.htm. 2. United States Senate, Church Report: Covert Action in Chile 1963-1973 (December 1975). Available on: http://foia.state.gov/Reports/ChurchReport.asp. 英國國會文件 Bingham, Thomas, Inquiry into the Supervision of the Bank of Credit and Commerce International, House of Commons Report (October 1992). 英國財政部文件 1. HM Treasury, FSA and Bank of England, After the EU Financial Services Action Plan: A Strategic Approach, 7 (May 2004). Available on HM Treasury website: http://www.hm-treasury.gov.uk/media/1B4/D3/1B4D3E5A-BCDC-D4B3-14E1EB2D499571C2.pdf. 2. HM Treasury, FSA and Bank of England, Supervising Financial Services in an Integrated European Single Market, 3 (January 2005). Available on: http://www.fsa.gov.uk/pubs/other/tripartite_dp.pdf. 3. HM Treasury, Regulating Financial Services: Index. Available on: http://www.hm-treasury.gov.uk/Documents/Financial_Services/Regulating_Financial_Services/fin_rsf_index.cfm . 英國金融服務局文件 FSA, Final Notice to Citigroup Global Markets Limited Dated 28 June 2005, 3. Available on: http://www.fsa.gov.uk/pubs/final/cgml_28jun05.pdf. 中文商業期刊、報紙 1. 白富美,摜殺富邦金:結構商品爆紛爭 扯出三角情仇,經濟日報,2005年2月23日,A3。 2. 李淑慧,富邦金股價異常波動疑雲,經濟日報,2005年2月24日,A4。 3. 傅沁怡,台新銀行摩根大通:未操縱富邦金股價,經濟日報,2005年2月23日,A3。 4. 葉慧心,摩根大通賠償投資人2,600萬,經濟日報,2005年2月25日,A4。 外文商業期刊、報紙 1. Ascarelli, Silvia, Bond Strategy Haunts Citigroup, Wall St. J., Feb. 4-6, 2005, M1. 2. Atkins, Ralph and Paivi Munter, Trichet Calls for ‘Thorough’ Citigroup Inquiry, FT.com, Feb. 3, 2005. pg. 1. 3. Biggadike, Oliver and Edward Taylor, German Won’t Have Easy Case Against Citigroup on Bond Deal, Wall St. J., Jan. 26, 2005, pg. C3. 4. Bradbery, Adam and Anne Hardy, French Treasury Rebukes Citigroup over Bond Trade, Wall St. J., Feb. 15, 2005, pg. C3. 5. Buckman, Rebecca and Kathy Chen, China Launches Telecommunications Investigation, Wall St. J., Nov. 12, 2004, A. 6. 6. Business Week, Dec. 26, 2005, 102-112. 7. Emsden, Christopher and David Reilly, Prosecutors Seek Indictment Again in Parmalat Case, Wall St. J., May 27, 2004 pg. A6. 8. Fifield, Anna and Jung-A Song, Seoul to Investigate Citigroup Operations, Financial Times, Oct. 5, 2004. pg. 28. 9. Fortune, Fortune Global 500 2005, Jul. 25, 2005, 119. 10. Hargreaves, Deborah and Paivi Munter, FSA Looks at Bond Markets Sshake-up, Financial Times, Sep 13, 2004, pg. 23. 11. Kapner, Fred, Parmalat Sues UBS over Bond Issues in 2003 Italy, Financial Times, Aug. 7, 2004, pg. 9. 12. Hintze, John, Pushing BackBanks Are Squawking Mightily About A Proposal for Strict Supvervision of Structured Finance, The Investment Dealers’ Digest, 1 (Nov. 8, 2004). 13. Jenkins, Patrick and Tobias Buck, On the Move: Why European Companies May See Benefits in a Corporate Statute with Fewer Limitations, Financial Times, Oct. 11, 2005, 13. 14. Kennedy, Simon, IOSCO to Review Investment Banks’ Conflict Management, Compliance Reporter, Jul. 25, 2005, pg. 1. 15. Kranhold, Kathryn , GE to Pay SEC $1.1 Million Over Its InVision Unit, Wall St. J., Feb. 15, 2005, A. 4. 16. Lahart, Justin , Nasdaq: Five Years After the Peak -- Heard on the Street: Nasdaq Bubble Floated Away, Others Stayed, Wall St. J, Mar 7, 2005, C.1. 17. Levine, Steve and Kara Scannell, Moving the Market: Azerbaijan Deal Yields 18. Morgenson, Gretchen and Timothy L. O’Brien, When Citigroup Met WorldCom, N.Y. Times, May 16, 2004, p. 9 19. Munter, Paivi, Futures Trades Seen as German Test Case: A Leading Politician Is Seeking Information from the Finance Ministry About an Audacious Bond Trade by Citigroup, Financial Times, Jan. 18, 2005, pg. 45. 20. Reilly, David and Alessandra Galloni, Spilling Over: Top Banks Come under Scrutiny for Role in Parmalat Scandal; Italian Dairy Giant Claims Bank of America, Others Aided Financial Cover-Up; An Entity Called ‘Black Hole,’ Wall St. J., Sep. 28, 2004, pg. A1. 21. Reilly, David and Edward Taylor, German Plan Signals European SEC; After the ‘Dr. Evil’ Debacle at Citigroup, Proposal Seeks ‘Supranational’ Regulation, Wall St. J., Mar. 4, 2005 pg. C3. 22. Saitto, Serena, Parmalat Sues J.P. Morgan Chase and Unicredito, Wall St. J., Aug. 8, 2004, pg. C3. 23. Taylor, Edward and Oliver Biggadike, Germany Won’t Charge Citigroup Bond Traders; The ‘Dr. Evil’ Stategy Isn’t Market Manipulation under Rules at the Time, Wall St. J., Mar. 22, 2005, pg. C3. 24. Wighton, David, US Fed Puts Check on Citigroup Deals, FT.com, Mar. 17, 2005, pg. 1. 25. Zaun, Todd, An Apology May Be Just the Start of Citibank Japan, N.Y. Times, Dec. 26, 2004, pg. 3.6. 26. 日本經濟新聞,監視委強化論之焦點(上):朝向信賴確保之分離論轉強,2006年2月17日,第7版。 其他網路資源 Simmons and Simmons, Financial Services Action Plan: the Financial Group Directive. Available on: http://www.elexica.com/fsap/finsupp/finsupp1.htm. | |
dc.identifier.uri | http://tdr.lib.ntu.edu.tw/jspui/handle/123456789/25590 | - |
dc.description.abstract | 金融市場的規範變革來自對於重大市場事件的反省。本文以2004年的三則重要金融市場事件,觀察跨國金融服務業所扮演的角色,及其在國際面向上所凸顯的金融監理議題,進而提出若干建議。
三則案例顯示,當前跨國金融服務業的監理機制存在下列問題:各國金融監理機關對跨國金融服務業及跨國交易欠缺明確的管轄權限分配原則,與有效率的事實調查及資訊共享機制;跨國金融服務業的交易能力及涵蓋區域對各國監理機關形成挑戰;以及各國金融監理機關對內部控制規範的密度不足。 本文建議,應以充分的國際合作,改善對跨國金融服務業的監理機制:在國際合作的形式方面,本文認為,於巴賽爾銀行監理委員會、國際證券監理委員會組織等國際金融監理組織對跨國金融服務業之監理議題進行討論,據以制訂相關的多邊規範,應為可行的方向。此外,以雙邊金融監理協議或備忘錄之方式,由各國金融監理機關就其各自管轄範圍內營運之跨國金融服務業的監理問題,予以符合其金融市場需求的安排,亦應為並行不悖的合作方式。 在實體部分,本文認為監理標準的內容應以澄清各國金融監理機關之間的規範權限分配原則,以及強化跨國金融服務業的內部控制為要務。 跨國金融服務業之監理需要密切的國際合作,我國正足以藉由參與金融監理合作擴大對國際社會的參與。除了積極參與各種國際金融監理組織、簽訂備忘錄外,世界貿易組織(WTO)中的服務貿易總協定之金融服務附件中的規定,賦予我國向其他會員國請求談判加入或簽訂各種金融監理協定或安排之權利,正是我國在WTO場合內關於國際金融監理合作尋求擴大國際參與的有力依據。 | zh_TW |
dc.description.provenance | Made available in DSpace on 2021-06-08T06:20:09Z (GMT). No. of bitstreams: 1 ntu-95-R91a21065-1.pdf: 1515107 bytes, checksum: f9d67c8d34aa6ba7aa6d6e13e6445fbb (MD5) Previous issue date: 2006 | en |
dc.description.tableofcontents | 第一章 緒論 14
第一節 研究動機與目的 14 第二節 論文架構 15 第三節 研究範圍、方法暨資料限制 16 第二章 金融服務業之定義、種類與業務 18 第一節 金融服務業的定義 18 第一項 金融服務 18 一、國際法 18 (一)WTO服務貿易總協定 18 (二)聯合國暫行聯合產品分類 22 (三)北美自由貿易協定 23 二、各國立法 24 (一)美國Gramm-Leach-Bliley 法 24 (二) 英國《2000年金融服務暨市場法》 27 三、小結—金融服務內涵之比較 29 第二項 金融服務業 29 第三項 金融機構 30 第二節 金融服務業的種類與業務 31 第一項 銀行業 31 一、存款業務 32 二、企業與消費者放款 32 三、手續費收入相關服務 33 四、證券投資與資產負債表外交易 33 第二項 證券業 34 一、投資銀行 34 二、證券經紀商 35 第三項 資產管理業 36 一、基金業 36 (一)共同基金 37 (二)退休基金 37 (三)避險基金 38 二、投資顧問 39 三、信託 40 第四項 保險業 40 一、人壽保險 41 二、產物保險 42 第五項 金融集團 42 一、美國Gramm-Leach-Bliley法 43 二、歐盟金融集團指令 44 三、英國金融服務局04�20政策宣示 46 第三章 金融服務業的跨國化 51 第一節 多國籍企業與跨國金融服務業 51 第一項 多國籍企業的定義 51 一、財務學 51 二、經濟學 52 三、法律上 53 (一) 國際組織之研究報告或立法芻議 53 (二) 學說 60 (三) 公司法與國際私法 64 第二項 以多國籍企業詮釋跨國金融服務業 67 一、多國籍企業定義之整理 67 二、以匯豐集團說明跨國金融服務業之典型 68 第二節 跨國金融服務業定義之調整 74 第一項 營收來自數主權國家市場 75 第二項 資產位於數國境內 80 第三項 股東國籍的國際化 82 第四章 跨國金融服務業之監理 85 第一節 金融監理之意義 85 第一項 金融監理之意義 85 第二項 金融監理之經濟邏輯 86 一、金融中介者的必要性 86 二、維繫金融中介者體質之健全對所有經濟個體有益 89 三、金融監理規範—減低資訊不對稱對金融中介者的傷害 91 第三項 金融監理之種類 92 一、安全及健全監理 93 二、市場進入限制 96 三、跨業兼營規範 97 四、貨幣政策規範 99 第四項 金融監理規範的發展歷程 100 一、美國 101 二、英國 106 三、日本 110 四、國際市場 114 第二節 金融監理者 124 第一項 業務主管機關 124 一、銀行監理機關 125 二、證券監理機關 126 三、保險監理機關 127 第二項 中央銀行 130 第三項 單一金融監理機構 132 一、單一金融監理機構風潮的背景 132 二、單一金融監理機構之職能 133 第三節 金融監理之目的 137 第一項 維持市場信心 137 第二項 促進大眾認知及保護消費者 138 第三項 減少金融犯罪 139 第四節 國際組織與金融監理 139 第一項 國際清算銀行暨巴賽爾銀行監理委員會 140 一、巴賽爾銀行監理委員會之簡介 140 二、巴賽爾銀行監理委員會的成果 142 第二項 世界貿易組織 152 第三項 國際貨幣基金 164 第四項 國際證券監理委員會組織 168 第五項 歐盟 175 第五節 跨國金融服務業的監理 190 第一項 跨國金融服務業監理之意義 191 第二項 跨國金融服務業監理之目的 191 第三項 對跨國金融服務業之監理權限分配 193 第五章 跨國金融服務業監理之案例研究 197 第一節 2004年8月花旗集團歐洲鉅額公債交易爭議 197 第一項 事件簡述 197 第二項 監理議題 201 一、各國金融監理機關對跨國交易之管轄權 202 二、各國金融監理機關對跨國交易欠缺有效率的事實調查或資訊共享機制 203 三、行政資源的浪費及認定結果的衝突 204 四、增加跨國金融服務業之法令遵循成本 205 第二節 義大利乳品集團Parmalat醜聞 205 第一項 事件簡述 206 第二項 監理議題 210 一、跨國金融服務業之交易能力及範疇對各國金融監理機關的挑戰 211 二、利益衝突場合的強制揭露義務 212 第三節 日本經驗-積極的跨國金融服務業監理 213 第一項 事件簡述 215 一、花旗銀行日本分行2004年9月處分案 215 二、日本金融廳對跨國金融服務業的積極監理經驗 217 (一)外國證券公司的市場操縱行為 217 (二)從事未經認許之業務 218 第二項、監理議題 219 一、金融監理機關的執法態度 219 二、雙邊金融監理合作 221 第六章 國際合作下之跨國金融服務業監理機制建議 225 第一節 國際合作之形式 226 第一項 超國家金融監理機構 226 第二項 國際金融監理組織與多邊規範 227 第三項 雙邊金融監理協議 231 第四項 小結—各種國際合作形式宜同時並進 234 第二節 跨國金融服務業監理標準之變革建議 235 第一項 規範權限分配 235 一、巴賽爾銀行監理委員會之監理權限分配原則 236 二、國際證券監理委員會組織之監理權限分配原則 237 三、歐盟金融工具市場指令 238 四、SEC—FSA MOU 2006 239 五、小結—關於規範權限分配之變革建議 239 第二項 內部控制規範 242 一、案例中的內部控制缺失 243 二、內部控制制度的重要性 244 三、關於內部控制之現有國際金融監理標準 244 四、關於內部控制標準之變革建議 245 第三節 我國藉由金融監理合作擴大國際參與之提議 246 第一項 透過WTO擴大我國關於國際金融監理合作之參與 247 第二項 透過國際金融監理組織及雙邊金融監理合作擴大我國之國際參與 252 一、透過在國際金融組織之內的國際合作擴大我國之國際參與 252 二、透過簽訂雙邊備忘錄擴大我國之國際參與 254 第七章 結論 257 參考文獻 260 | |
dc.language.iso | zh-TW | |
dc.title | 國際合作下之跨國金融服務業監理機制 | zh_TW |
dc.title | The Supervision System of Cross Border Financial Services | en |
dc.type | Thesis | |
dc.date.schoolyear | 94-2 | |
dc.description.degree | 碩士 | |
dc.contributor.coadvisor | 曾宛如 | |
dc.contributor.oralexamcommittee | 王文宇,張新平 | |
dc.subject.keyword | 金融監理,金融服務業,跨國金融服務業,國際金融監理,國際金融監理組織,世界貿易組織,金融服務附件,金融危機,備忘錄,國際證券監理委員會組織,巴賽爾銀行監理委員會,巴賽爾資本協定,歐盟,金融工具市場指令,國際合作,國際貨幣基金,國際清算銀行,金融服務暨市場法,金融服務現代化法,單一許可,市場進入, | zh_TW |
dc.subject.keyword | WTO,GATS,FSA, | en |
dc.relation.page | 278 | |
dc.rights.note | 未授權 | |
dc.date.accepted | 2006-09-12 | |
dc.contributor.author-college | 法律學院 | zh_TW |
dc.contributor.author-dept | 法律學研究所 | zh_TW |
顯示於系所單位: | 法律學系 |
文件中的檔案:
檔案 | 大小 | 格式 | |
---|---|---|---|
ntu-95-1.pdf 目前未授權公開取用 | 1.48 MB | Adobe PDF |
系統中的文件,除了特別指名其著作權條款之外,均受到著作權保護,並且保留所有的權利。