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Financial Law: a Comparative Law Perspective. Xiaoyan Song Prof. of Law, Law School Shanghai University of Finance and Economics xiaoyansong@mail.shufe.edu.cn. What does this course include. -- Central banking law -- Different modes and transition of financial regulation

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financial law a comparative law perspective

Financial Law: a Comparative Law Perspective

Xiaoyan Song

Prof. of Law, Law School

Shanghai University of Finance and Economics

xiaoyansong@mail.shufe.edu.cn

what does this course include
What does this course include

-- Central banking law

-- Different modes and transition of financial regulation

-- International banking supervision and BASEL system

-- International securities law

-- Financial consumer protection

-- Resolution of problem financial institutions

introduction
Introduction
  • What’s finance?
  • What’s financial market?
  • What’s financial law?
  • Why do we need financial law?
what s finance
What’s finance
  • According to the view of macro-economy, all the economy units are to be divided into either money-surplus department or money-deficit department.
  • Finance is a bridge of money.
  • Finance is the blood of a country’s economy.
financial market
Financial Market
  • Financial markets include indirect and direct market.
  • Banking industry is the typical of indirect market. Why?
  • Securities market is the typical of direct market. Why?
  • A brief comparison between these two markets: factors to be considered while financing——funds’ amount; different benefits and drawbacks of equity capital and debt capital; disclosure requirements.
financial instruments
Financial Instruments
  • In general financial instruments are to be divided into spot product and derivative product (according to delivery time)
  • Financial instruments are created to meet different needs: saving, investment, hedging, speculation, etc.
why to regulate
Why to regulate
  • Financial safety;
  • Financial efficiency;
  • Consumer protection
what is financial law
What is financial law
  • Financial law is all the norms which are to adjust parties’ behavior and relationship occurred in financial markets.
organizations
●organizations
  • http://www.imf.org/
  • http://www.bis.org/bcbs/
  • http://www.iosco.org/
supervisory authorities gb u s
●supervisory authorities: GB U.S
  • http://www.bankofengland.co.uk/Pages/home.aspx
  • http://www.fsa.gov.uk/
  • http://www.federalreserve.gov/
  • http://www.sec.gov/
  • http://www.fdic.gov/
supervisory authorities eu
●supervisory authorities: EU
  • http://www.esma.europa.eu/
  • http://www.eba.europa.eu/
  • https://eiopa.europa.eu/
  • http://www.esrb.europa.eu/home/html/index.en.html
  • http://www.ecb.int/home/html/index.en.html