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姓名 鄭式傑(Shih-Chieh Cheng)  查詢紙本館藏   畢業系所 財務金融學系
論文名稱 從供應鏈管理看金融監理
(Analysis of Financial Regulation by Using Supply Chain Management)
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摘要(中) 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。
摘要(英) 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.
關鍵字(中) ★ 供應鏈管理
★ 衍生性金融商品
★ 資訊揭露
關鍵字(英) ★ supply chain management
★ financial products
★ information disclosure
論文目次 第一章:緒論- 1 -
1-1 研究動機- 1 -
1-2 文獻探討- 6 -
1-3 研究主旨- 9 -
第二章:市場監理概況- 12 -
2-1 消費性商品與金融商品供應鏈之差異性 - 12 -
2-1-1 消費性商品供應鏈 - 12 -
2-1-2 金融商品供應鏈 - 15 -
2-2 消費性商品監理原則與規範-以美國玩具業、汽車業為例 - 19 -
2-3 金融商品監理 - 26 -
第三章:消費性商品法庭判例 - 34 -
第四章:金融商品法庭判例 - 43 -
第五章:如何改善金融市場的監理制度 - 54 -
第六章:結論 - 58 -
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指導教授 邱慈觀(Tzu-Kuan Chiu) 審核日期 2009-7-14
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