Course Jukebox

Course Jukebox

Course Detail

Standard Academic Year
Course delivery methods
College of Law
Main Campus
Course Offering Year
Course Offering Month
February - June
Weekday and Period
Intensive courses
Course Number
LAW5280 (A21EU4290)

Financial Regulations in Asia National Taiwan University

Course Overview

*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.1804 (NTU College of Law, Tsai Lecture Hall, 8th floor) on Feb.22 (Wed.) during 1:20~5:20pm. and fill in and take the authorization code. If you have any questions, feel free to come in 1804 during 1:20~5:20 pm. and talk to the TA, Ming-Chan(Jack), Hsieh or contact me via Thank you. --- 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. TA :謝明展(HSIEH, MING-CHAN) E-mail

Learning Achievement

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.


Course prerequisites

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 Finch

Grading Philosophy

Course schedule

Course type

Online Course Requirement


Chen Chao-Hung

Other information

(College of Law) Graduate Institute of Law,
(College of Law) Department of Law

Site for Inquiry

Please inquire about the courses at the address below.

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