教學大綱 Syllabus

週次

Week

課程主題

Topic

課程內容與指定閱讀

Content and Reading Assignment

教學活動與作業

Teaching Activities and Homework

學習投入時間

Student workload expectation

課堂講授

In-class Hours

課程前後

Outside-of-class Hours

1 (9/11)

Introduction

1. International Financial Transactions
   1. Definition

指定書目1 Ch.1 (pp.1-9,

pp.19-25)

報告、討論、講述

3

6

2. Major Financial Markets Compared

2 (9/18)

1. International Financial Transactions

2. Regulation

指定書目1 Ch.1 (pp.10-19)

報告、討論、講述

3

6

Institutional Design

The International Architecture

4. Today’s International Financial Regulatory System and its Origins

指定書目2 Ch.5

 (pp.138-147)

3 (9/25)

The Choices for National Systems

1. The Significance of Institutional Design
2. Supervisory Models: The Main Options
3. Examples of Supervisory Models in Use

指定書目2 Ch.4 (pp.98-109)

報告、討論、講述

3

6

• The US Example

The Structure of US Financial Regulatory System

指定書目2 Ch.7 (pp.202-212)

4 (10/2)

The Choices for National Systems (續)

4. The Public Character of Supervision and the Role of Self-Regulation
5. The Role of the Central Bank
6. Mandate and Powers
7. Accountability, Governance, and Transparency
8. Costs and Funding

指定書目2 Ch.4 (pp.109~124)

報告、討論、講述

3

6

5 (10/9)

The Role of Capital in Supporting Banking Stability (Basel II~III)

指定書目2 Ch.12 (pp.335 -354)

報告、討論、講述

3

6

6 (10/16)

The Role of Capital in Supporting Banking Stability  (續)

指定書目2 Ch.12 (pp.354-361)

報告、討論、講述

3

6

Basel IV

指定書目3 GIS Report

7 (10/23)

Financial Market Regulation

1. Setting the Stage
2. Global Financial Market Supervisory Structure and Regulatory Process

指定書目4 Ch.9 (pp.239-263)

報告、討論、講述

3

6

8 (10/30)

Financial Market Regulation(續)

3. Effects of Regulation on the Value Chain of Market Operators
4. The Future of Regulation in the EU and the USA

指定書目4 Ch.9 (pp.263-284)

報告、討論、講述

3

6

9 (11/6)

期中考

10 (11/13)

Asset Securitization and the Housing Financial Crisis

2. Key Issues in Structuring and Offering

4. Reform of the Securitization Process
   1. The Credit Ratings Agencies

指定書目1Ch.13

(pp. 883-898;

pp. 901-903)

報告、討論、講述

3

6

11 (11/20)

4. Reform of the Securitization Process
   1. The Credit Ratings Agencies (續)
   2. Disclosure
   3. Incentives
      3. Implementation of the Dodd-Frank Act.
      4. European Union
      5. Covered Bonds

5. Structural Reforms: The Volcker Rule

指定書目1Ch.13

(pp.903-915,

pp. 916-920,

p.932)

報告、討論、講述

3

6

12(11/27)

Swaps

1. Swap transactions and Markets
2. Credit and Market Risks
3. Credit Derivatives
   1. Types of Transactions
   2. Price Transparency

指定書目1Ch.16

(pp. 1044-1067)

報告、討論、講述

3

6

13(12/4)

3. Credit Derivatives (續)
   3. Restructuring and Settlement Issues

2. What Is A Restructuring?
   4. Clearing and Settlement and Exchange Trading

2.  The Dodd-Frank Act
3. OTC Derivative Exchange-Trading Reform
4.  International Development

指定書目1Ch.16

(pp. 1067,

pp. 1071-1076;

pp. 1078-1099)

報告、討論、講述

3

6

14 (12/11)

6. Enforceability Issues

Conclusions

指定書目1Ch.16

(pp. 1107-1130)

報告、討論、講述

3

6

15 (12/18)

Investment Funds and Asset Management

1. Introduction

4. Issues in US Mutual Fund Regulation

2. Passively Managed Mutual Funds and ETFs
3. Other Issues (a. b. c. f. g. h)

指定書目1Ch.17

(pp.1131-1138; pp. 1152-1156; pp.1156 -1163; pp. 1166-1172)

報告、討論、講述

3

6

16 (12/25)

期末考

17（1/1）

 開國紀念日

18 (1/8)

補充教學週 (Q&A)