A Comparative Study on the Regulatory Schemeof the Chinese Wall in Taiwan

• Main Authors: Yau-Chu Lee, 李曜崇
• Other Authors: Yi-Hong Hsieh
• Format: Others
• Language: zh-TW
• Published: 2003
• Online Access: http://ndltd.ncl.edu.tw/handle/54687454724699184904

碩士 === 中原大學 === 財經法律研究所 === 91 === Abstract This research mainly focuses on the regulatory scheme of the Chinese Wall in Taiwan. It analyzes the regulations by comparing the differences between Taiwan and U.S. and U.K. as revision in the future.This research examines the present Chinese Wall regulatory structure in Taiwan, so as to furnish a tentive peoposition for further improvement. The scheme of the research comprises six parts as follows： Part I illustrates the motivation, methods, limitations and realm of this paper. Part II probes regulatory issue on “conflicts of interest” that resulted from commercial banks’ diversified operation by the “universal banking” mode or the “financial holding company”, and proposes the Chinese Wall regulatory structure to avoid the potential financial improprieties. Part III lays stress on definition、causes and modes of “conflicts of interest”，and to prove that the Chinese Wall regulatory structure is the best policy to resolving the regulatory dilemma. Part IV analyzes the regulatory scheme of the Chinese Wall regulatory structure in U.S. and U.K. as the court’s holdings、laws、releases、and regulations promulgated by the SEC and SIB. Part V discuss the contrast between the U.S. and Taiwan’s regulations of the Chinese Wall regulatory structure in order to have a panorama view of the current laws. Part VI concludes issues and propositions of this research and tentatively contours prospects of establishing Taiwan’s regulatory scheme of the Chinese Wall regulatory structure.