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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. -- Central banking law -- Different modes and transition of financial regulation

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Financial Law: a Comparative Law Perspective

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  1. Financial Law: a Comparative Law Perspective Xiaoyan Song Prof. of Law, Law School Shanghai University of Finance and Economics xiaoyansong@mail.shufe.edu.cn

  2. 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

  3. Introduction • What’s finance? • What’s financial market? • What’s financial law? • Why do we need financial law?

  4. 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.

  5. 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.

  6. 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.

  7. Why to regulate • Financial safety; • Financial efficiency; • Consumer protection

  8. What is financial law • Financial law is all the norms which are to adjust parties’ behavior and relationship occurred in financial markets.

  9. Some important international financial organizations and supervisory authorities

  10. ●organizations • http://www.imf.org/ • http://www.bis.org/bcbs/ • http://www.iosco.org/

  11. ●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/

  12. ●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

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