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金融服務創新下金融監理法制之研究 = A Study on the Le...

國立高雄大學法律學系碩士班

金融服務創新下金融監理法制之研究 = A Study on the Legal System of Financial Regulation in Financial Service Innovation

Record Type:	Language materials, printed : monographic
Paralel Title:	A Study on the Legal System of Financial Regulation in Financial Service Innovation
Author:	江孟芳,
Secondary Intellectual Responsibility:	國立高雄大學
Place of Publication:	[高雄市]
Published:	撰者;
Year of Publication:	2014[民103]
Description:	254面圖，表 : 30公分;
Subject:	金融監理
Subject:	Financial Regulation
Online resource:	http://handle.ncl.edu.tw/11296/ndltd/06207353360006325871
Notes:	參考書目：面239-246
Notes:	103年12月16日公開
Summary:	本論文從金融自由化、國際化等金融市場與金融服務創新的發展，以及其與金融監理制度多面向的交互關係立論。首先，從2008年金融危機及其相關事件分析，導引出包括衍生性金融商品、金融消費者保護等金融監理相關的爭議問題。次之，從金融監理制度發展，以英國監理一元和美國的多元監理等代表性的規範立法例，從比較法的觀點，了解英美等國如何因應金融服務創新、跨業經營及其業務拓展等趨勢，進而審視對於新興金融商品規範管制，強化監理和金融消費者保護等因應的監理機制。最後，從我國近年的金融改革重點中，《金融服務（業）法草案》的提出和2011年三讀通過的《金融消費者保護法》等規範，探討其是否針對金融商品銷售的監理有進一步的依據立基，以及對整體監理規範一元整合發展的影響。 This dissertation is to embraces a series of discussions arising from the liberalization and the internationalization of the development on the financial market services and the financial regulation systems. First of all, the “Financial Crisis of 2008” bringing several issues in the financial innovation filed such as financial derivatives and consumer protection will be analyzed. Secondly, there are two main legal norms in the current financial regulation systems. One is the signalization of regulation of the UK, and the other is diversification of regulation of the US. In order to improve the financial regulations and the consumer protection mechanisms, the analyses of the financial service norms, the multi-business managements, the expanding trends and the regulated operations of new financial instruments from the viewpoint of comparative law will be given. Finally, having addressed the drafts of the “Financial Service Act 2008”, furthermore having passed the “Financial Consumer Protection Act 2011” , the financial reform in Taiwan in recent years is worthy of investigation. Those issues such as whether the established criteria of marketing regulation on the further basis, the impact on fully integration specified of financial regulation, etc. will be explained in this dissertation.

金融服務創新下金融監理法制之研究 = A Study on the Legal System of Financial Regulation in Financial Service Innovation
江, 孟芳

金融服務創新下金融監理法制之研究 = A Study on the Legal System of Financial Regulation in Financial Service Innovation / 江孟芳撰 - [高雄市] : 撰者, 2014[民103]. - 254面 ; 圖，表 ; 30公分.
參考書目：面239-246103年12月16日公開.
金融監理Financial Regulation

金融服務創新下金融監理法制之研究 = A Study on the Legal System of Financial Regulation in Financial Service Innovation
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330 $a 本論文從金融自由化、國際化等金融市場與金融服務創新的發展，以及其與金融監理制度多面向的交互關係立論。首先，從2008年金融危機及其相關事件分析，導引出包括衍生性金融商品、金融消費者保護等金融監理相關的爭議問題。次之，從金融監理制度發展，以英國監理一元和美國的多元監理等代表性的規範立法例，從比較法的觀點，了解英美等國如何因應金融服務創新、跨業經營及其業務拓展等趨勢，進而審視對於新興金融商品規範管制，強化監理和金融消費者保護等因應的監理機制。最後，從我國近年的金融改革重點中，《金融服務（業）法草案》的提出和2011年三讀通過的《金融消費者保護法》等規範，探討其是否針對金融商品銷售的監理有進一步的依據立基，以及對整體監理規範一元整合發展的影響。 This dissertation is to embraces a series of discussions arising from the liberalization and the internationalization of the development on the financial market services and the financial regulation systems. First of all, the “Financial Crisis of 2008” bringing several issues in the financial innovation filed such as financial derivatives and consumer protection will be analyzed. Secondly, there are two main legal norms in the current financial regulation systems. One is the signalization of regulation of the UK, and the other is diversification of regulation of the US. In order to improve the financial regulations and the consumer protection mechanisms, the analyses of the financial service norms, the multi-business managements, the expanding trends and the regulated operations of new financial instruments from the viewpoint of comparative law will be given. Finally, having addressed the drafts of the “Financial Service Act 2008”, furthermore having passed the “Financial Consumer Protection Act 2011” , the financial reform in Taiwan in recent years is worthy of investigation. Those issues such as whether the established criteria of marketing regulation on the further basis, the impact on fully integration specified of financial regulation, etc. will be explained in this dissertation.
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