本文援引供應鏈管理概念，針對目前金融市場監理現況進行探究，研究目的在於透過消費性商品與金融商品之比較，尋找金融產業資訊揭露與法令規格不足之處。文中首先探討消費性商品與金融商品供應鏈之關係與責任義務，藉以找出金融產業問題之一，在於經銷商與諮詢商合併。其次，透過消費者商品法庭判例與金融商品法庭判例之比較，解析金融市場監理機制之不足與盲點。最後，本文針對金融市場現存之問題，提出六點具體改革建議，希望從金融產業供應鏈結構中發現問題，分析弊病，進而透過有效的管理、嚴謹的法令規範，改善金融市場現況，達到穩定經濟之功效。 This paper uses the concept of supply chain management to examine the structure of financial market, and to determine the sufficiency of financial regulations. More specifically, this paper uses various court cases base on financial products to find out financial regulation deficiencies. This paper firstly compares the consumer products with financial products and interprets the difference of the responsibility that lies within manufacturer, distributor and consultant by using supply chain management bases. Secondly, it collects lawsuits of both consumption and financial industry to find out the drawback of financial regulations. Finally, the author concludes six aspects of suggestion to improve the financial regulation.
