A study of regulation of financial business -based on related party transaction

碩士 === 國立政治大學 === 法學院碩士在職專班 === 99 === Due to deregulation and globalization in banking system, financial institutions are increasingly burring traditional differences between banking, insurance, and other institutions. As results, intra-group transactions cause more concern about the conflicts of i...

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Main Author: 朱美蓮
Other Authors: 劉連煜
Format: Others
Language:zh-TW
Published: 2011
Online Access:http://ndltd.ncl.edu.tw/handle/42939774873304218904
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spelling ndltd-TW-099NCCU51940512015-10-16T04:02:37Z http://ndltd.ncl.edu.tw/handle/42939774873304218904 A study of regulation of financial business -based on related party transaction 金融集團業務經營之法律問題-以關係人交易規範為中心 朱美蓮 碩士 國立政治大學 法學院碩士在職專班 99 Due to deregulation and globalization in banking system, financial institutions are increasingly burring traditional differences between banking, insurance, and other institutions. As results, intra-group transactions cause more concern about the conflicts of interests. From a legal point of view, different legal relationships will confer different rights and impose different duties on financial parties. Therefore, it is sensible to analyze the legal nature of the relationships of different participants and their roles in financial institutions’ related party transactions. This study presents an analysis of regulations of related party transactions within Financial Conglomerates, and proposes reforms to deal with conflicts of interest: Firstly, discusses the regulations about the business scope of financial holding company, bank, securities and insurance company. Then further analyzes the regulations of related party transactions within each above financial parties. Secondly, depicts the American regulatory scheme and the frames guidelines and principles of international financial supervisory institutions. The former focuses on the background of banking regulations and the latest issue about The Dodd-Frank Act. The later includes the Basel Committee on Banking Supervision (BCBS), the International Organization of Securities Commissions (IOSCO), the International Association of Insurance Supervisors (IAIS), the International Swaps and Derivatives Association (ISDA) and the Joint Forum on Financial Conglomerates. A comparative analysis of regulations of the above and Taiwan was made. Thirdly, further analyzes the controversial issues of intra-group transactions based on several judicial cases, and then discusses the operational deficiencies of financial institutions and flaws of law and regulations. Finally, summarizes the said issues and propositions about related party transactions of financial institutions. 劉連煜 2011 學位論文 ; thesis 165 zh-TW
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description 碩士 === 國立政治大學 === 法學院碩士在職專班 === 99 === Due to deregulation and globalization in banking system, financial institutions are increasingly burring traditional differences between banking, insurance, and other institutions. As results, intra-group transactions cause more concern about the conflicts of interests. From a legal point of view, different legal relationships will confer different rights and impose different duties on financial parties. Therefore, it is sensible to analyze the legal nature of the relationships of different participants and their roles in financial institutions’ related party transactions. This study presents an analysis of regulations of related party transactions within Financial Conglomerates, and proposes reforms to deal with conflicts of interest: Firstly, discusses the regulations about the business scope of financial holding company, bank, securities and insurance company. Then further analyzes the regulations of related party transactions within each above financial parties. Secondly, depicts the American regulatory scheme and the frames guidelines and principles of international financial supervisory institutions. The former focuses on the background of banking regulations and the latest issue about The Dodd-Frank Act. The later includes the Basel Committee on Banking Supervision (BCBS), the International Organization of Securities Commissions (IOSCO), the International Association of Insurance Supervisors (IAIS), the International Swaps and Derivatives Association (ISDA) and the Joint Forum on Financial Conglomerates. A comparative analysis of regulations of the above and Taiwan was made. Thirdly, further analyzes the controversial issues of intra-group transactions based on several judicial cases, and then discusses the operational deficiencies of financial institutions and flaws of law and regulations. Finally, summarizes the said issues and propositions about related party transactions of financial institutions.
author2 劉連煜
author_facet 劉連煜
朱美蓮
author 朱美蓮
spellingShingle 朱美蓮
A study of regulation of financial business -based on related party transaction
author_sort 朱美蓮
title A study of regulation of financial business -based on related party transaction
title_short A study of regulation of financial business -based on related party transaction
title_full A study of regulation of financial business -based on related party transaction
title_fullStr A study of regulation of financial business -based on related party transaction
title_full_unstemmed A study of regulation of financial business -based on related party transaction
title_sort study of regulation of financial business -based on related party transaction
publishDate 2011
url http://ndltd.ncl.edu.tw/handle/42939774873304218904
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